Transcription of Firms Fined, Individuals Sanctioned Reported for …
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Firms Fined, Individuals Sanctioned Reported for …
Disciplinary and Other FINRA Actions Firms Fined, Individuals Sanctioned Reported for TR Capital Group, LLC dba Titus Rockefeller, LLC (CRD #43608, Westport, May 2016. Connecticut) and Richard Christopher Stoyeck (CRD #842122, Wilton, Connecticut) submitted a Letter of Acceptance, Waiver and Consent (AWC) in which the firm was censured and fined $15,000. Stoyeck was fined $5,000 and FINRA has taken disciplinary actions suspended from association with any FINRA member in any principal capacity against the following Firms and for 15 business days. A lower fine was imposed on the firm after considering, Individuals for violations of FINRA. among other things, its revenues and financial resources. Without admitting or rules; federal securities laws, rules denying the findings, the firm and Stoyeck consented to the sanctions and to and regulations; and the rules of the entry of findings that the firm, acting through Stoyeck, knew that certain the Municipal Securities Rulemaking registered representatives were using personal email addresses to conduct Board (MSRB).
1 Firms Fined, Individuals Sanctioned TR Capital Group, LLC dba Titus Rockefeller, LLC (CRD® #43608, Westport, Connecticut) and Richard …
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