AURA FINANCIAL SERVICES INC.

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/22/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AURA FINANCIAL SERVICES, INC, (CRD No. 42822), ERIK MATZ (CRD No. 2715303), LEONARD FARBER (CRD No. 2437625), and TIMOTHY GAUTNEY (CRD No. 2552149), Respondents. Disciplinary Proceeding No. CLI05001402 Hearing Officer-David M. FitzGerald ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 22, 2005 INTRODUCTION Disciplinary Proceeding No.CLI0500014 was filed on May 26, 2005 by the Department of Enforcement of NASD ("Complainant").
Reference CLI05001402data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/17/2010: FINRA OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. AURA FINANCIAL SERVICES, INC. [CRD No. 42822] AND TIMOTHY M. GAUTNEY, Equity Trader, Financial and Operations Principal, Municipal Securities Representative, Registered Operations Principal, General Securities Principal, and General Securities Representative [CRD NO. 2552149] Respondent. DISCIPLINARY PROCEEDING NO. 2008011565203 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 17, 2010 INTRODUCTION
Reference 2008011565203data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. AURA FINANCIAL SERVICES, INC. [CRD No. 42822] AND JONATHAN FENTON, General Securities Principal and General Securities Representative [CRD No. 2781807] AND RESPONDENTS. DISCIPLINARY PROCEEDING NO. E052005000702 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: Complaint 1. Respondent Aura Financial Services, Inc.
10/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. AURA FINANCIAL SERVICES, INC. [CRD No. 42822] AND TIMOTHY M. GAUTNEY, Equity Trader, Financial and Operations Principal, Municipal Securities Representative, Registered Operations Principal, General Securities Principal, and General Securities Representative [CRD NO. 2552149] AND RESPONDENTS. ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 16, 2008 INTRODUCTION Disciplinary Proceeding
Reference E052005000702data-portal.finra.org data-portal.finra.org finra.org

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