Foothill Securities Inc.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026915302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Foothill Securities, Inc. CRD No. 1027 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Foothill Securities, Inc. ("Foothill" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is
Reference 2011026915302data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE,WAIVER AND CONSENT NO. 20120306704-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Foothill Securities, Inc., Respondent FINRA Member Firm CRD No. 1027 Stephen Guy Shipp, Jr., Respondent General Securities Principal CRD No. 1937641 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Foothill Securities, Inc. (Foothill or the Firm) and Respondent Stephen Guy Shipp, Jr. (Shipp)
Reference 2012030670401data-portal.finra.org finra.org

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