GUNNALLEN FINANCIAL INC

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/06/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. GunnAllen Financial, Inc. CRD No. 17609 and Richard M. Nummi CRD No. 2540066 and Stephen I. Saunders IV CRD No. 2873747 and Brian E. Sanders CRD No. 2743309 Respondents. Disciplinary Proceeding No. E072004006101 Hearing Officer: AHP ORDER ACCEPTING OFFER OF SETTLEMENT March 6, 2007 INTRODUCTION Disciplinary Proceeding No. E072004006101 was filed on June 23, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondents
Reference E072004006101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/08/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072005009201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: GunnAllen Financial, Inc., Respondent [CRD No. 17609] and Kelley A. McMahon, Respondent Equity Trader, Financial and Operations Principal, General Securities Principal, General Securities Representative and Municipal Securities Principal [CRD No. 2394493] Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, GunnAllen
Reference E072005009201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/18/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07050004 TO: Department of Enforcement NASD RE: GunnAllen Financial, Inc., Respondent Member Firm CRD No. 17609 Stephen I. Saunders, IV General Securities Principal CRD No. 2873747 Pursuant to Rule 9216 of NASD Code of Procedure, GunnAllen Financial, Inc. ("GunnAllen"), and Stephen I. Saunders, IV ("Saunders") (collectively "Respondents of Acceptance, Waiver and Consent ("AWC"0 for the purpose of proposing a settlement of the alleged rule
Reference C07050004data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/25/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. GunnAllen Financial, Inc. Broker-Dealer [CRD No. 17609], Disciplinary Proceeding No.2005002392101 Hearing Officer: DMF ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 25,2007 Jay Marc Israel, Associated Person [CRD No. 1525260] Respondents INTRODUCTION Disciplinary Proceeding No. 2005002392101 as filed on May 16,2006, by the Department of
Reference 2005002392101data-portal.finra.org finra.org

Other names1

Also known as1

GUNNALLEN FINANCIAL INC.

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