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in response to the filing of a complaint on april 24 , 2012 , by the department of enforcement of the financial industry regulatory authority (“finra”) , respondent david r t newsom submitted an offer of settlement dated june 14 , 2012 , which the regulator accepted.
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in response to the filing of a complaint on july 12 , 2011 , by the department of enforcement of the financial industry regulatory authority (?finra?) , respondent jerod a t wurm submitted an offer of settlement dated may 31 , 2012 , which the regulator accepted.
for the purpose of proposing a settlement of rule violations alleged by the financial industry regulatory authority (?finra?) , without admitting or denying the findings , prior to a regulatory hearing , and without an adjudication of any issue , robert worthington vincent submitted a letter of acceptance , waiver and consent (?awc?) , which finra accepted t in the matter of robert worthington vincent , respondent (awc 2011002261912 , june 25 , 2012) .
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for the purpose of proposing a settlement of rule violations alleged by the financial industry regulatory authority (?finra?) , without admitting or denying the findings , prior to a regulatory hearing , and without an adjudication of any issue , andrey v t tkatchenko submitted a letter of acceptance , waiver and consent (?awc?) , which finra accepted t in the matter of andrey v t tkatchenko , respondent (awc 200238011743304 , may 23 , 2012) .
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in response to the filing of a complaint on january 5 , 2012 , by the department of enforcement of the financial industry regulatory authority (?finra?) , respondent
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for the purpose of proposing a settlement of rule violations alleged by the financial industry regulatory authority (?finra?) , without admitting or denying the findings , prior to a regulatory hearing , and without an adjudication of any issue , thomas robert vodicka submitted a letter of acceptance , waiver and consent (?awc?) , which finra accepted t in the matter of thomas robert vodicka , respondent (awc 20100231894 , may 31 , 2012) .
for the purpose of proposing a settlement of rule violations alleged by the financial industry regulatory authority (“finra”) , without admitting or denying the findings , prior to a regulatory hearing , and without an adjudication of any issue , robert worthington vincent submitted a letter of acceptance , waiver and consent (“awc”) , which finra accepted t in the matter of robert worthington vincent , respondent (awc 2011002261912 , june 25 , 2012) .
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for the purpose of proposing a settlement of rule violations alleged by the financial industry regulatory authority (“finra”) , without admitting or denying the findings , prior to a regulatory hearing , and without an adjudication of any issue , jose guillermo delmendo submitted a letter of acceptance , waiver and consent (“awc”) , which finra accepted t in the matter of jose guillermo delmendo , respondent (awc 2011028822001 , june 1 , 2012) .
for the purpose of proposing a settlement of rule violations alleged by the financial industry regulatory authority (“finra”) , without admitting or denying the findings , prior to a regulatory hearing , and without an adjudication of any issue , charles edward frsek
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in response to the filing of a complaint on january 5 , 2012 , by the department of enforcement of the financial industry regulatory authority (?finra?) , respondent
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in response to the filing of a complaint on april 24 , 2012 , by the department of enforcement of the financial industry regulatory authority (“finra”) , respondent david r t newsom submitted an offer of settlement dated june 14 , 2012 , which the regulator accepted.
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in response to the filing of a complaint on july 12 , 2011 , by the department of enforcement of the financial industry regulatory authority (?finra?) , respondent jerod a t wurm submitted an offer of settlement dated may 31 , 2012 , which the regulator accepted.
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in response to the filing of a complaint on february 18 , 2011 , by the department of enforcement of the financial industry regulatory authority (“finra”) , respondent dennis zator submitted an offer of settlement dated may 4 , 2012 , which the regulator accepted.
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for the purpose of proposing a settlement of rule violations alleged by the financial industry regulatory authority (“finra”) , without admitting or denying the findings , prior to a regulatory hearing , and without an adjudication of any issue , robert worthington vincent submitted a letter of acceptance , waiver and consent (“awc”) , which finra accepted t in the matter of robert worthington vincent , respondent (awc 2011002261912 , june 25 , 2012) .
for the purpose of proposing a settlement of rule violations alleged by the financial industry regulatory authority (?finra?) , without admitting or denying the findings , prior to a regulatory hearing , and without an adjudication of any issue , darin bradley whittington submitted a letter of acceptance , waiver and consent (?awc?) , which finra accepted t in the matter of darin bradley whittington , respondent (awc 2010022142701 , june 12 , 2012) .
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Generated 2012-7-4_10:25
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