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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2021072167901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DISCIPLINARY PROCEEDING DEPARTMENT OF ENFORCEMENT, Complainant, v. STEWART GINN (CRD No. 4503197), Respondent NO. 2021072167901 HEARING OFFICER–MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 29, 2024 INTRODUCTION Disciplinary Proceeding No. 2021072167901 was filed on October 17, 2023, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA” or “Complainant”). Respondent Stewart Ginn submitted an Offer of Settlement (“Offer”) to Complainant dated August 16, 2024. Pursuant to FINRA Rule 9270(e), the Complainant and the National Adjudicatory Council (“NAC”), a Review Subcommittee of the NAC, or the Office of Disciplinary Affairs (“ODA”) have accepted the uncontested Offer. Accordingly, this Order now is issued pursuant to FINRA Rule 9270(e)(3). The findings, conclusions and sanctions set forth in this Order are those stated in the Offer as accepted by the Complainant and approved by the NAC. | Orders Accepting Offers of Settlement | Stewart Ginn |
08/29/2024 |
| 2021072167901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stewart Ginn CRD No. 4503197, Respondent Disciplinary Proceeding No. 2021072167901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Stewart Ginn, while registered through Independent Financial Group, LLC (“IFG”), churned and excessively traded five customers’ accounts between July 2020 and December 2022 (the “relevant period”). 2. None of the five customers was an aggressive investor. Moreover, three of the customers were retired seniors. During the relevant period in which Ginn was churning and excessively trading their accounts, one of the customers was in her late 80s and suffering from Alzheimer’s disease; a second retired customer was in her late 70s; and a third retired customer was between 69 and 71 years old. | Complaints | Stewart Ginn |
10/17/2023 |