HALCYON CABOT PARTNERS LTD
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. HALCYON CABOT PARTNERS, LTD. (CRD No. 32664), MICHAEL TRENT MORRIS (CRD No. 843281), AND RONALD MARK HEINEMAN (CRD No. 241924), Respondents. Disciplinary Proceeding No. 2012033877802 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 6, 2015 INTRODUCTION Disciplinary Proceeding No. 2012033877802 was filed on July 28, 2015, by the Department of Enforcement
07/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. HALCYON CABOT PARTNERS, LTD. (CRD No. 32664), MICHAEL TRENT MORRIS (CRD No. 843281), AND RONALD MARK HEINEMAN (CRD No. 241924), RESPONDENTS. DISCIPLINARY PROCEEDING NO. 2012033877802 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2010 and May 2013 (the "Relevant Period")
Reference 2012033877802data-portal.finra.orgdata-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130388744-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Halcyon Cabot Partners, Ltd., Respondent Broker-Dealer CRD No. 32664 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Halcyon Cabot Partners, Ltd. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2013038874401data-portal.finra.orgfinra.org
Other names1
Also known as1
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