Hallmark Investments Inc.

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. HALLMARK INVESTMENTS, INC. (BD NO. 135003), AND STEVEN GARY DASH (CRD No. 2438498), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2006 003 6895 01 Hearing Officer SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 20, 2009 INTRODUCTION Disciplinary Proceeding No. 2006003689501 was filed on January 10, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority
Reference 2006003689501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/31/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010020940701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hallmark Investments. Inc. (BD No. 135003) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hallmark Investments, Inc. ("Hallmark," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2010020940701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Hallmark Investments, Inc, (CRD No. 135003), Steven G. Dash (CRD No. 2438498), Stephen P. Zipkin (CRD No. 2567513), and William H. Coons (CRD No. 2049465) Respondents. DISCIPLINARY PROCEEDING No. 2014039352302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In November 2014, Hallmark Investments, Inc. ("Hallmark" or the "Firm"), Steven G. Dash, and Stephen P. Zipkin
08/14/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Hallmark Investments, Inc. (CRD No. 135003), Steven G. Dash (CRD No. 2438498), Stephen P. Zipkin (CRD No. 2567513), and William H. Coons (CRD No. 2049465) Respondents. Disciplinary Proceeding No. 2014039352302 Complainant, Hearing Officer - RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 31, 2017 INTRODUCTION Disciplinary Proceeding No. 2014039352302 was filed on December 20, 2016, by the
Reference 2014039352302data-portal.finra.org finra.org data-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.