Government Shutdown Information

2024083132901 Santiago J. Torres CRD 5644622 Complaint lp (2025-1740961196396).pdf

The Department of Enforcement alleges: Respondent Santiago J. Torres, Jr. failed to provide information and documents, and appear for on-the-record testimony, that FINRA requested pursuant to FINRA Rule 8210 as part of an investigation into whether he misappropriated funds and falsified customer documents. By failing to provide the requested information, documents, and testimony, Torres violated FINRA Rules 8210 and 2010.

2023077629803 Danielle M. Freeman CRD 6672981 AWC lp (2025-1740961203107).pdf

During August 2023, in anticipation of departing Northwestern, Freeman improperly transferred copies of thousands of files containing customers’ nonpublic personal information from Northwestern’s systems to her personal cloud storage site. The nonpublic personal information included customers’ Social Security and tax identification numbers, state driver’s license and state identification numbers, and financial account numbers. She transferred and retained this information until April 2024 without the customers’ knowledge or consent and in contravention of Northwestern’s procedures.

2022076589301 Kevin John Herne CRD 5320629 Complaint gg (2025-1740961196400).pdf

The Department of Enforcement alleges: SUMMARY 1. For more than two years, Respondent Kevin Herne willfully failed to disclose on his Uniform Application for Securities Industry Registration or Transfer (Form U4) that he had been charged with a felony. As a result, Herne violated Article V, Section 2(c) of FINRA’s By- Laws and FINRA Rules 1122 and 2010.

SLS Filings Due

FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.

SLS Filings Due

FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.

SLS Filings Due

FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.

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