Securities representative suspended and fined for allegedly falsely certifying that she had personally completed the continuing education required to hold an insurance license
Another person had completed 15 hours of insurance continuing education on her behalf.
FINRA Rule 2010
Former products representative suspended and fined for allegedly falsely certifying that she had personally completed the continuing education required to hold an insurance license
Another person had completed 15 hours of insurance continuing education on her behalf.
FINRA Rule 2010
Former products representative barred for allegedly refusing to produce information and documents
FINRA Rule 2010 FINRA Rule 8210
Securities representative suspended and fined for allegedly falsely certifying that she had personally completed the continuing education required to hold an insurance license
Another person had completed 15 hours of insurance continuing education on her behalf.
FINRA Rule 2010
Former securities representative suspended and fined for alleged material fact and information misrepresentations connected to private placement offerings
The representative negligently misrepresented to prospective investors that two proposed broker-dealer firms founded and managed by him had received regulatory approval when, at the time the communications being distributed, the application for one had been denied and the other was pending.
In addition the representative maintained that he was registered with FINRA in multiple capacities, including as principal, when all his registrations as principal had lapsed.
FINRA Rule 2010
Securities representative suspended and fined for allegedly processing unauthorized fund transfers between customer accounts
FINRA Rule 2010
Former securities representative barred for allegedly refusing to appear for on-the-record testimony
FINRA Rule 2010
Arcview Capital censured and fined for allegedly faling to maintain its required minimum net capital
The firm also failed to notify FINRA of its net capital deficiencies.
Exchange Act Rule 15c3-1 FINRA Rule 2010 FINRA Rule 4110
| Unless otherwise noted all respondents accepted and consented to FINRA’s findings without admitting or denying them. |