Showing 1–50 of 163 cases
Case NameOutcomePenaltyDate Filed
In the Matter of Danish RaufSettled—— · FINRA
In the Matter of Danish RaufSettled——
FINRA In the Matter of Stash Capital LLCSettled$450K— · FINRA
FINRA In the Matter of Stash Capital LLCSettled$450K—
FINRA v. William Steven CookeSettled—— · FINRA
FINRA v. William Steven CookeSettled——
In the Matter of Anthony SicaSettled—— · FINRA
In the Matter of Anthony SicaSettled——
In the Matter of Avinesh K. ShankarSettled—— · FINRA
In the Matter of Avinesh K. ShankarSettled——
In the Matter of ScholnickSettled—— · FINRA
In the Matter of ScholnickSettled——
In the Matter of Roger Allan RoemmichSettled—— · FINRA
In the Matter of Roger Allan RoemmichSettled——
FINRA v. Justin KimSettled—— · FINRA
FINRA v. Justin KimSettled——
In the Matter of David Nathan CohenSettled—— · FINRA
In the Matter of David Nathan CohenSettled——
In the Matter of Chapin Davis, Inc.Settled$45K— · FINRA
In the Matter of Chapin Davis, Inc.Settled$45K—
FINRA In the Matter of BTIG, LLCSettled$600K— · FINRA
FINRA In the Matter of BTIG, LLCSettled$600K—
In the Matter of VectorGlobal WMG, Inc.Settled$200K— · FINRA
In the Matter of VectorGlobal WMG, Inc.Settled$200K—
In the Matter of The Ultima Global Markets (USA), Inc. fka BCS Global MarketsSettled$100K— · FINRA
In the Matter of The Ultima Global Markets (USA), Inc. fka BCS Global MarketsSettled$100K—
FINRA In the Matter of Arcadia Securities, LLCSettled$40K— · FINRA
FINRA In the Matter of Arcadia Securities, LLCSettled$40K—
FINRA In the Matter of Canaccord Genuity LLCSettled—— · FINRA
FINRA In the Matter of Canaccord Genuity LLCSettled——
In the Matter of Herold & Lantern Investments, Inc.Settled$125K— · FINRA
In the Matter of Herold & Lantern Investments, Inc.Settled$125K—
FINRA In the Matter of Aegis Capital Corp.Settled$400K— · FINRA
FINRA In the Matter of Aegis Capital Corp.Settled$400K—
FINRA v. Tradier Brokerage, Inc.Settled$75K— · FINRA
FINRA v. Tradier Brokerage, Inc.Settled$75K—
In the Matter of Kipling Jones & Co., Ltd. and Robbi Julene JonesPending$38K— · FINRA
In the Matter of Kipling Jones & Co., Ltd. and Robbi Julene JonesPending$38K—
In the Matter of Alpaca Securities LLCSettled$300K— · FINRA
In the Matter of Alpaca Securities LLCSettled$300K—
FINRA v. A.G.P. / Alliance Global Partners, LLCSettled$145K— · FINRA
FINRA v. A.G.P. / Alliance Global Partners, LLCSettled$145K—
In the Matter of Nafissa DialloPending—— · FINRA
In the Matter of Nafissa DialloPending——
In the Matter of Federico CardonaPending—— · FINRA
In the Matter of Federico CardonaPending——
In the Matter of Elmer Richard FergusonUnknown—— · FINRA
In the Matter of Elmer Richard FergusonUnknown——
FINRA v. Independence Capital Co., Inc.Settled—— · FINRA
FINRA v. Independence Capital Co., Inc.Settled——
In the Matter of BNY Mellon Capital Markets, LLCSettled$60K— · FINRA
In the Matter of BNY Mellon Capital Markets, LLCSettled$60K—
In the Matter of Wells Fargo Clearing Services, LLCSettled$1.3M— · FINRA
In the Matter of Wells Fargo Clearing Services, LLCSettled$1.3M—
In the Matter of BNP Paribas Securities Corp.Settled$125K— · FINRA
In the Matter of BNP Paribas Securities Corp.Settled$125K—
FINRA v. ABN AMRO Capital Markets (USA) LLCSettled$50K— · FINRA
FINRA v. ABN AMRO Capital Markets (USA) LLCSettled$50K—
In the Matter of Cetera Advisors LLCUnknown—— · FINRA
In the Matter of Cetera Advisors LLCUnknown——
In the Matter of Networks LLCSettled$1.1M— · FINRA
In the Matter of Networks LLCSettled$1.1M—
In the Matter of Michael Joseph WhitakerUnknown—— · FINRA
In the Matter of Michael Joseph WhitakerUnknown——
In the Matter of Virtu Americas LLCSettled$200K— · FINRA
In the Matter of Virtu Americas LLCSettled$200K—
In the Matter of Stirlingshire InvestmentsSettled$40K— · FINRA
In the Matter of Stirlingshire InvestmentsSettled$40K—
In the Matter of TPEG Securities, LLCSettled$175K— · FINRA
In the Matter of TPEG Securities, LLCSettled$175K—
In the Matter of The GMS Group, LLCSettled$35K— · FINRA
In the Matter of The GMS Group, LLCSettled$35K—
FINRA v. Aegis Capital Corp.Settled$375K— · FINRA
FINRA v. Aegis Capital Corp.Settled$375K—
FINRA v. Benjamin F. Edwards & Company, Inc.Settled$750K— · FINRA
FINRA v. Benjamin F. Edwards & Company, Inc.Settled$750K—
In the Matter of Joshua Aaron DeanPending—— · FINRA
In the Matter of Joshua Aaron DeanPending——
In the Matter of Jeffrey Kenneth Galvani and Stuart A. JefferyUnknown—— · FINRA
In the Matter of Jeffrey Kenneth Galvani and Stuart A. JefferyUnknown——
In the Matter of Nana Kwame Kwakye-BissahUnknown—— · FINRA
In the Matter of Nana Kwame Kwakye-BissahUnknown——
In the Matter of Jay Deron ZornesSettled—— · FINRA
In the Matter of Jay Deron ZornesSettled——
In the Matter of James Thaddeus WalesaSettled—— · FINRA
In the Matter of James Thaddeus WalesaSettled——
In the Matter of Patrick Michael RoraffUnknown—— · FINRA
In the Matter of Patrick Michael RoraffUnknown——
In the Matter of Hugo HernandezSettled—— · FINRA
In the Matter of Hugo HernandezSettled——
In the Matter of Lyhen FialloSettled—— · FINRA
In the Matter of Lyhen FialloSettled——
In the Matter of William Joseph KielczewskiPending$50K— · FINRA
In the Matter of William Joseph KielczewskiPending$50K—
In the Matter of Andrew Stephen MogolSettled$5K— · FINRA
In the Matter of Andrew Stephen MogolSettled$5K—
In the Matter of Eduardo Leon Jr.Settled$5K— · FINRA
In the Matter of Eduardo Leon Jr.Settled$5K—
FINRA v. Phillip Curtis AndersonPending—— · FINRA
FINRA v. Phillip Curtis AndersonPending——