Updated Standard Secured Demand Note (SDN) Templates and New FINRA Foundation Research
| |||
2021071094401 John Pelletier CRD 4205289 OHO Decision df.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
JOHN PELLETIER
(CRD No. 4205289),
Respondent.
Disciplinary Proceeding
No. 2021071094401
Hearing Officer–MC
EXTENDED HEARING
PANEL DECISION
June 25, 2024
Respondent John Pelletier is suspended from associating with any FINRA
member firm in any capacity for three months and fined $10,000 for effecting
16 unauthorized transactions in a customer’s retirement account in violation
of FINRA Rule 2010.
Appearances
For the Complainant: Robert Kennedy, Esq., Nicholas Pilgrim, Esq., and John R.
2018059178401 Austin R Dutton Jr CRD 2739167 OHO Default Decision df.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
AUSTIN R. DUTTON, JR.
(CRD No. 2739167),
Respondent.
Disciplinary Proceeding
No. 2018059178401
Hearing Officer–RES
DEFAULT DECISION
May 29, 2024
Respondent is barred from associating with any FINRA member firm in any capacity for making unsuitable recommendations of alternative investments; falsifying books and records of a FINRA member firm; and failing to respond, or failing to respond in a timely manner, to FINRA Rule 8210 requests for information and documents.
SR-FINRA-2024-010
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure), which governs the information FINRA releases to the public via FINRA’s BrokerCheck® tool, to exclude from release through BrokerCheck the street address of a registered location that is reported and identified to FINRA as a private residence. The proposed rule change would help address privacy and safety concerns raised by broker-dealer firms and their associated persons about the release through BrokerCheck of the full address of an associated person’s private residential registered location.