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Disciplinary and Other FINRA Actions Reported for September 2008
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Document Date: 2015-04-09 12:52:11

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File Size: 13,56 KB

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City

Cincinnati / San Francisco / Dallas / Houston / San Antonio / Austin / New York / Atlanta / Wakefield / Jersey City / Alpharetta / St. Louis / /

Company

Citigroup Global Markets Inc. / Special Reserve Bank / Tejas Securities Group Inc. / Oppenheimer & Co. Inc. / Southwest Securities Inc. / Credit Suisse Securities (USA) LLC / Solaris Securities Inc. / Firms Fined A.G. Edwards & Sons Inc. / Stanford Group Company / Individual Sanctioned Stonegate Partners LLC / Alton Securities Group Inc. / Tradition Asiel Securities Inc. / GFI Securities LLC / NYFix Clearing Corporation / The O.N. Equity Sales Company / The Benchmark Company LLC / Lehman Brothers Inc. / Tullett Liberty Securities LLC / Alerus Securities Corporation / Wells Fargo Investments LLC / Charles Schwab & Co. Inc. / Nordic Partners Inc. / Individuals Fined Argosy Capital Securities Inc. / /

Country

Mexico / United States / /

Currency

USD / /

Event

Delayed Filing / /

Facility

NASD/NASDAQ Trade Reporting Facility / OTC Reporting Facility / /

IndustryTerm

certain foreign banks / bank account / adequate supervisory systems / banking services / foreign shell banks / foreign banks / supervisory systems / /

MarketIndex

Consumer Price / /

OperatingSystem

Solaris / /

Organization

Automated Confirmation Transaction Service / FINRA / Municipal Securities Rulemaking Board / NASDAQ Market Center / Securities and Exchange Commission / NASD / /

Person

Essex / Ronkonkoma / Austin / Michael Lee Cuckler / Brian Westbrook Bernier / Robert Jon Ackerman / John Hartridge Banzhaf Sr. / /

Position

financial advisor / stock loan manager / research analyst / senior officer / independent consultant / consultant / underwriter / author research reports / correspondent / business and registered supervisor / representative / analyst / Registered Representative / /

ProvinceOrState

Texas / New Jersey / Ohio / North Dakota / Illinois / New York / Missouri / California / Georgia / Massachusetts / /

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