CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 31003
|
|
- Beverly Carr
- 5 years ago
- Views:
Transcription
1 CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER This is a summary of a Settlement Agreement entered into in connection with the October 2018 hearings of the Disciplinary and Ethics Commission ( the Commission ) of Certified Financial Planner Board of Standards, Inc. ( CFP Board ). The conduct at issue in this case occurred after January 1, The Rules in effect at that time under the Rules of Conduct were Rules 1.1 through 6.5. I. Issues Presented Whether a CFP professional ( Respondent ) violated CFP Board s Standards of Professional Conduct when he drafted misleading contracts in order to hire an unregistered employee, in violation of the rules of the Financial Industry Regulatory Authority ( FINRA ) and his firm s written policies. II. Findings of Fact In December 1986, Respondent passed the General Securities Representative Examination (Series 7). In the same month, he became registered with a FINRA member broker-dealer, and he remained a registered representative for the next 30 years. In March 1988, Respondent became certified as a CFP professional, and he has maintained his certification ever since. Respondent has had no disciplinary history with CFP Board or any regulator. In December 1988, Respondent began working at Firm ABC, where he currently serves as President and part owner. ABC provides accounting and tax services as well as insurance sales. In November 1989, Respondent passed the Uniform Securities Agent State Law Examination (Series 63). In January 1999, Respondent became registered as a broker and investment advisor with Firm DEF. He remained at DEF for 17 years until DEF terminated his employment in January He has not been registered since that date. Respondent's Termination and FINRA AWC In January 2016, DEF filed a Form U5 Notice of Termination announcing that it had discharged Respondent on January 20, DEF identified the following "Reason for Termination": "Representative employed a nonregistered person without properly associating them with the firm and obtaining fingerprints as is required by firm policy and industry regulations." In February 2016, CFP Board staff sent a Notice of Investigation ( NOI ) to Respondent requesting documents and information about his termination from DEF. Respondent provided the requested documents and information in March In May 2016, CFP Board staff sent a letter to Respondent explaining that it was closing its investigation pending the resolution of an ongoing inquiry being conducted by FINRA. The letter stated: - 1 -
2 "Because the FINRA Inquiry is pending, CFP Board has closed its investigation until after the matter has been resolved... Please be advised that you are required to report the resolution (e.g. dismissal, settlement, award, verdict) of the FINRA Inquiry within 14 days of the resolution date." In September 2016, Respondent completed his Renewal Ethics Disclosure. Respondent answered "Yes" to the questions asking whether he'd ever been terminated for cause or been the subject of a self-regulatory investigation. He provided the following details in the comment section: "I temporarily employed an individual who[se] registration lapsed and was subsequently renewed, but for a partial period of lime with my firm was not registered. Since I was already in the process of leaving the securities side of the profession to move into planning only, I voluntarily resigned my securities license. I disclosed this to [CFP] Board and received a letter stating the matter was closed. " In January 2018, Respondent entered into a Letter of Acceptance, Waiver and Consent ( AWC ) with FINRA consenting to FINRA's findings that he engaged in conduct that violated a FINRA rule. In the AWC, FINRA made the following findings: [Respondent s employee (employee X)] was a registered representative with a FINRA member firm from February 2010 to December 2012, when employee X voluntarily resigned. Between January of 2013 and April of 2014, employee X was not registered with any FINRA member firm. However, during this period, employee X worked with Respondent at [DEF] to facilitate the purchase of approximately 32 alternative investments, such as Business Development Corporations (BDCs) and Real Estate Investment Trusts (RIETs), to 26 customers. Employee X s level of involvement in each of these investments varied. On some occasions, Employee X and Respondent would meet with a customer and assess the customer s suitability for an investment and make a recommendation. On other occasions, employee X would meet with a customer on her own and assess suitability, make a recommendation, and then fill out the required paperwork. Employee X would then drop off the paperwork at Respondent s office to be executed under Respondent s name at [DEF]. Employee X did not become registered with [DEF] until April of While employee X was not registered, Respondent made payments to her totaling $102,000. After she was registered, Respondent continued to make payments to her until November of 2015, totaling an additional $23,250. These payments were made pursuant to five different contracts entered into between Respondent and employee X, ostensibly for education and training related to alternative investments. However, Respondent concedes that the payments were related to employee X s active role in his securities business and to entice employee X to eventually register and become his business partner. In the AWC, FINRA found that Respondent's conduct violated FINRA Rule 2010: NASD Membership and Registration Rule 1031(a) provides that all persons engaged in the... securities business of a member who are to function as representatives must be registered. The rule defines a representative to include all persons associated with a member firm who engaged in the functions of supervision, solicitation or conduct of business of securities
3 FINRA Rule 2010 provides that a member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade. By allowing employee X to act in a capacity that required registration, even though she was not registered, Respondent violated FINRA Rule By accepting the terms of the AWC in January 2018, Respondent consented to the imposition of the following sanctions: A two (2) month suspension from association with any FINRA member firm in any capacity and a $5,000 fine. The fine shall be due and payable either immediately upon reassociation with a member firm, or prior to any application or request /or relief from any statutory disqualification resulting from this or any other event or proceeding, whichever is earlier. In January 2018, Respondent sent a letter to CFP Board explaining that he had signed an AWC with FINRA in connection with the matter that CFP Board had closed in 2016 until after the resolution of FINRA's investigation. Respondent offered the following explanation: Upon advice of counsel, and considering the costs of litigating this matter, I entered into an agreement with FINRA whereby I neither admitted nor denied wrongdoing, but accepted a settlement of a fine and suspension. Both terms... are applicable only if I re-register with FINRA. I previously informed FJNRA that I had sold my practice and did not intend to re-register with any broker-dealer. I continue to have no desire to work for a broker-dealer.... Please advise me if you require any further information... Although I am finished with working for a broker-dealer, I remain committed to and advocate for the principles of true financial planning, and want to remain in compliance. Thank you. On February 6, 2018, CFP Board staff mailed a new NOI to Respondent seeking documents and information regarding his January 2018 FINRA AWC. On March 8, 2018, Respondent's attorney sent a response to CFP Board s NOI and attached a copy of Respondent's executed FINRA AWC. The letter stated: My client s Settlement was motivated by the high cost of litigation. Moreover, he believes that his former broker-dealer was supervising employee X. Furthermore, my client was not her supervisor." In July 2018, CFP Board asked Respondent to produce copies of the "five contracts" identified in the AWC. Respondent produced the contracts in August The first of the five contracts was dated January 2013 and signed by employee X. The full and complete terms of that contract were as follows: "CONTRACT 100 hours of educational and training services regarding use of alternative investment products within asset allocations, including how to evaluate different products, how to market, and how to implement. All materials to be provided by Employee X. All training to be completed prior to June % of payment due upon completion of 50 hours of training. Balance of payment due upon completion of training
4 Total contract: $25, " Contracts two through five were unsigned and undated, and they contained the following terms: Contract 2 stated that training was to be completed by January 2014 for $48,000. Contract 3 stated that training was to be completed by April 2014 for $31,000. Contract 4 stated that training was to be completed by May 2015 for $18,000. Contract 5 stated that training was to be completed by November for $6,000. The contracts suggested that employee X was providing education and training services related to alternative investments but employee X provided no such training. The contracts were designed to disguise the payments that Respondent was making to employee X to compensate her for the securities-related work she was providing to his securities business. When DEF filed its Form U5 announcing its termination of Respondent in January 2016, it stated that Respondent had violated the firm's policies and procedures which prohibited non-registered persons from acting in a capacity that required registration: "Representative employed a non-registered person without properly associating them with the firm and obtaining fingerprints as is required by firm policy and industry regulations." Conclusion Article 13.1 of the Disciplinary Rules provides that a letter or other writing from a governmental or industry selfregulatory authority to the effect that a Respondent has been the subject of an order of professional discipline by such authority shall conclusively establish the existence of such professional discipline for purposes of disciplinary proceedings and shall be conclusive proof of the basis for such discipline by the Respondent. As defined in Article 13.4 of the Disciplinary Rules, professional discipline "shall include the suspension, bar or revocation as disciplinary measure by... [an] industry self-regulatory organization or professional association. FINRA is an industry self-regulatory authority. The January 2018 AWC is an order of professional discipline by FINRA, and Respondent is the subject of that order. Therefore, the AWC conclusively establishes the existence of such discipline for purposes of this disciplinary proceeding, and is conclusive proof of the basis for such discipline by the Respondent. III. Grounds for Discipline First Ground for Discipline Pursuant to Article 3(a) of the Disciplinary Rules, there are grounds to discipline Respondent for acts or omissions that violate Rule 4.3 of the Rules of Conduct, which provides that a certificant shall comply with applicable regulatory requirements governing professional services provided to the client. Respondent is a certificant. FINRA Rule 2010 requires that "a member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.'' Respondent allowed an unregistered person to act in a capacity the required registration when he allowed her to meet with customers, complete firm paperwork, assess suitability, make investment recommendations, and accept payment for providing these services. By engaging in this conduct, Respondent failed to observe high standards of commercial honor, thereby violating - 4 -
5 FINRA Rule The AWC is conclusive proof that Respondent violated the regulatory requirements of FINRA Rule Thus, Respondent violated Rule 4.3 of the Rules of Conduct. Second Ground for Discipline Pursuant to Article 3(a) of the Disciplinary Rules, there are grounds to discipline Respondent for acts or omissions that violate Rule 5.1 of the Rules of Conduct, which provides that a certificant who is an employee shall perform professional services with dedication to the lawful objectives of the employer and in accordance with CFP Board's Code of Ethics. Respondent, a certificant, failed to perform professional services with dedication to the lawful objectives of the employer and in accordance with CFP Board's Code of Ethics when he violated DEF s policies and procedures that required him to properly associate a non-registered person with the firm and obtain fingerprints before employing that person. Thus, by engaging in these actions that violated his employer's policies and procedures, Respondent violated Rule 5.1 of the Rules of Conduct. Third Ground for Discipline Pursuant to Article 3(d) of the Disciplinary Rules, CFP Board has grounds to discipline a Respondent for any act that is the proper basis for professional discipline. The AWC described acts by Respondent that were determined by FINRA to form the proper basis for a two-month suspension. A FINRA suspension constitutes professional discipline by an industry self-regulatory organization. Therefore, the AWC is conclusive proof that Respondent engaged in acts that violated FINRA's rules and resulted in his professional discipline. Therefore, Respondent can be disciplined under Article 3(d) of the Disciplinary Rules. IV. Discipline Imposed The Commission and Respondent entered into a Settlement Agreement in which Respondent consented to the Findings of Fact and Grounds for Discipline. Pursuant to the terms of the Settlement Agreement, the Commission issued Respondent a suspension for six months as provided in Article 4 of the Disciplinary Rules. The Commission found the following Sanction Guidelines relevant to its decision: 1. Conduct 33 Professional Discipline of less than one year; 2. Conduct 30 Securities Law Violation; and 3. Conduct 12 Employer Policy Violation. In coming to its decision to enter into the Settlement Agreement, the Commission considered the following aggravating factors: 1. The conduct occurred over an extended period of time of almost three years; clients were involved; 3. Respondent attempted to conceal misconduct by creating misleading contracts; 4. Respondent executed paperwork under his own name even though the unregistered person met with the clients; and 5. Respondent was terminated from his employer
6 The Commission considered the following factors in mitigation: 1. Respondent acknowledged the misconduct; and 2. There was no client harm. Additionally, the Commission consulted two Anonymous Case Histories ( ACHs ). First, the Commission considered ACH 28754, in which the Commission issued a three-year suspension when a CFP professional shared commissions with a representative of another firm without either firm s knowledge. The CFP professional intentionally avoided compliance procedures and the behavior occurred over an extended period of time; these factors were similar to those in the case at hand, however the instant Commission believed the DEC issued a longer suspension in ACH because the CFP professional admitted that he would have continued the activity if his conduct had not been detected. Second, the Commission considered ACH 29923, in which the Commission issued a public letter of admonition when a CFP professional allowed two other registered representatives to put their names on variable annuity applications simply in order to help them meet sales quotas when they were not otherwise involved in the sales. The CFP professional entered into an AWC with FINRA, which issued a 15-day suspension and a $10,000 fine. There was no client harm in that matter. The Commission found that ACH was similar to the instant case in that the CFP professional also intentionally put his name on paperwork when he had not been involved in the actual sale to the clients. Further, the Commission found that the instant case had additional factors that support the harsher sanction of a six-month suspension
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 28855
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 28855 This is a summary of a Settlement Agreement entered into at the October 2014 hearings of the Disciplinary and
More informationCERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 30547
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 30547 This is a summary of a decision issued following the June 2018 hearings of the Disciplinary and Ethics Commission
More informationCERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 30450
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 30450 This is a summary of a Settlement Agreement entered into at the October 2017 hearings of the Disciplinary and
More informationCERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 29005
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 29005 This is a summary of a Settlement Agreement entered into at the October 2014 hearings of the Disciplinary and
More informationCERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 26931
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 26931 This is a summary of a decision issued following the February 2014 hearings of the Disciplinary and Ethics Commission
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160518176 01 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Christopher M. Herrmann,
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049789602 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Alexander L. Martin,
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022518104 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Michael Perlmuter,
More informationACCEPTANCE AND CONSENT
THE NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031480718 TO: RE: The New York Stock Exchange LLC do Department of Enforcement Financial Industry Regulatory Authority ("FINRA")
More informationCERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 25530
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 25530 This is a summary of a decision issued following the March 2013 hearings of the Disciplinary and Ethics Commission
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150433627 01 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Laidlaw & Company
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026346204 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Neil Arne Evertsen,
More informationBACKGROUND NASDAQ BX, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
NASDAQ BX, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031480719 TO: RE: NASDAQ BX, Inc. do Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Simon Librati, Respondent
More informationNYSE AMERICAN LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO
NYSE AMERICAN LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016-07-01304 TO: RE: NYSE AMERICAN LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent CRD No. 7691 Merrill Lynch, Pierce,
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC Certified, Return Receipt Requested TO: FROM: Janney Montgomery Scott, LLC Mr. Eliot Duhan Vice President, Compliance 1717 Arch Street Philadelphia,
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022518103 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Azim Nakhooda, Respondent
More informationBATS EDGA EXCHANGE, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.
BATS EDGA EXCHANGE, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140416350-05 TO: RE: Bats EDGA Exchange, Inc. c/o Department of Market Regulation Financial Industry Regulatory Authority ("FINRA")
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, v. Complainant, ANDREW LYMAN QUINN (CRD No. 2453320), Respondent. Disciplinary Proceeding No. 2013038136101
More informationNYSE MKT LLC NOTICE OF ACCEPTANCE OF AWC
NYSE MKT LLC NOTICE OF ACCEPTANCE OF AWC Via Certified Mail, Return Receipt Requested TO: FROM: UBS Securities LLC Mr. Mark Impellizeri Director and Regulatory Attorney 1285 Avenue of the Americas New
More informationNASDAQ BX, INC. NOTICE OF ACCEPTANCE OF AWC
NASDAQ BX, INC. NOTICE OF ACCEPTANCE OF AWC Certified, Return Receipt Requested TO: FROM: RBC Capital Markets, LLC Mr. Howard D. Plotkin Managing Director 3 World Financial Center 200 Vesey St. New York,
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DISCIPLINARY PROCEEDING Department of Enforcement, No. 2014040815101 Complainant, Hearing Officer - DRS V. Jeffrey S. Cederberg (CRD No.
More informationSECURITIES ENFORCEMENT
THE CORPORATE & SECURITIES LAW ADVISOR THE CORPORATE & SECURITIES LAW ADVISOR Volume 20 Number 12, December 2006 SECURITIES ENFORCEMENT How to Succeed at Settling SEC and NASD Enforcement Actions by Katherine
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036033801 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Michael Willard Korson,
More information-- DW. of Disciplinary Affairs ("ODA") have accepted the uncontested Offer. Accordingly, this Order
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, DISCIPLINARY PROCEEDING No. 2015047096601 V. Hearing Officer -- DW BRANT ANDREW RAY (CRD No. 4746637),
More informationCERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 22866
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 22866 This is a summary of a decision issued following the June 2011 hearings of the Disciplinary and Ethics Commission
More informationParker has no relevant disciplinary history.
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050492101 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Walter Warren Parker,
More informationTHE NEW YORK STOCK EXCHANGE LLC OFFICE OF HEARING OFFICERS
THE NEW YORK STOCK EXCHANGE LLC OFFICE OF HEARING OFFICERS Department of Enforcement, on behalf of the New York Stock Exchange LLC, 1 v. Complainant, David Mitchell Elias (CRD No. 4209235), Disciplinary
More informationRegulatory Notice 11-06
Regulatory Notice 11-06 Reporting Requirements SEC Approves Consolidated FINRA Rule Governing Reporting Requirements Effective Date: July 1, 2011 Executive Summary The SEC approved FINRA s proposal to
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC. Certified, Return Receipt Requested
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC Certified, Return Receipt Requested TO: FROM: G1 Execution Services, LLC Mr. Richard J. McDonald Chief Regulatory Counsel 175 W. Jackson Blvd. Suite
More informationNASDAQ OMX BX, INC. NOTICE OF ACCEPTANCE OF AWC
NASDAQ OMX BX, INC. NOTICE OF ACCEPTANCE OF AWC Certified, Return Receipt Requested TO: FROM: Timber Hill, LLC Mr. David M. Battan Executive Vice President and General Counsel One Pickwick Plaza Suite
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051259501 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Kenneth S. Tyrrell,
More informationCERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 25732
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 25732 This is a summary of a Settlement Agreement entered into at the March 2013 hearings of the Disciplinary and Ethics
More informationCERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 20996
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 20996 This is a summary of a decision issued following the March 2012 hearings of the Disciplinary and Ethics Commission
More informationNEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO
NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016-01-15-00001 TO: RE: New York Stock Exchange LLC Americas Executions, LLC, Respondent CRD No. 140345 During the period from
More informationBATS BZX EXCHANGE, INC, LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO TO:
BATS BZX EXCHANGE, INC, LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140418707-03 TO: Bats BZX Exchange, Inc. ao Department of Market Regulation Financial Industry Regulatory Authority ("F1NRA") BMO
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036836015 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Instinet, LLC, Respondent
More informationRegulatory Notice 18-16
Regulatory Notice 18-16 High-Risk Brokers FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them Comment Period Expires: June 29, 2018 Summary FINRA
More informationCERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 27713
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 27713 This is a summary of order issued following the February 2017 hearings of the Disciplinary and Ethics Commission
More informationNYSE AMERICAN LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
NYSE AMERICAN LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051337102 TO: RE: NYSE American LLC do Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Sanford C. Bernstein
More informationBACKGROUND THE NASDAQ STOCK MARKET LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO ACCEPTANCE AND CONSENT TO:
THE NASDAQ STOCK MARKET LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031480721 2012031480721 TO: RE: The NASDAQ Stock Market LLC do Department of Enforcement Financial Industry Regulatory Authority
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC. Certified, Return Receipt Requested
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC Certified, Return Receipt Requested TO: FROM: Old Mission Capital, LLC Mr. Patrick Nichols Manager 314 W. Superior Suite 200 Chicago, IL 60654 The
More informationl hereby accept and consent: witliout admitting or denying the findings, and solely
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040269302 TO: RE: Department of Enforcement Financial industry Regulatory Authority ( 'FINRA") Peter Frederick Butler,
More informationNASDAQ OMX BX, INC. NOTICE OF ACCEPTANCE OF A WC
NASDAQ OMX BX, INC. NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: FROM: Global Execution Brokers, LP Mr. Brian Sopinsky Assistant Secretary 401 City Avenue Bala Cynwyd, PA 19004
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. N
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. N0.2016050142601 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA")") Jonathan G. Sweeney,
More informationNASDAQ OMX BX, INC. NOTICE OF ACCEPTANCE OF A WC
NASDAQ OMX BX, INC. NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: UBS Securities LLC Suzanne R. Elovic Executive Director 677 Washington Boulevard Stamford, CT 06901 FROM: The NASDAQ
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: Stock USA Execution Services, Inc. Mr. Timothy Looney President, Chief Financial Officer 1717 Route 6 Suite
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: FROM: R.W. Pressprich & Co. Mr. Timothy L. Burns Co-Chief Compliance Officer 452 Fifth Avenue New York,
More informationTHE. NASDAQ STOC1C MARKET LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
THE. NASDAQ STOC1C MARKET LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051141801 TO: RE: The NASDAQ Stock Market LLC do Department of Enforcement Financial industry Regulatory Authority ("FINRA")
More informationNEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO
NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016-07-01067 TO: RE: New York Stock Exchange LLC Raymond James & Associates, Inc., Respondent CRD No. 705 During the period from
More informationNEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO
NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016-11-00072 TO: RE: New York Stock Exchange LLC Electronic Transaction Clearing, Inc., Respondent CRD No. 146122 Electronic Transaction
More informationACCEPTANCE AND CONSENT BACKGROUND SUMMARY
CBOE BZX EXCHANGE, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140414439-03 TO: RE: Cboe BZX Exchange, Inc. c/o Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Wolverine
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140399376-01 TO: RE: Department of Market Regulation Financial industry Regulatory Authority ("FINRA") UBS Securities
More informationBEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD REGULATION, INC. DECISION
BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD REGULATION, INC. In the Matter of Department of Enforcement, Complainant, DECISION Complaint No. C01990014 Dated: December 18, 2000 vs. Stephen Earl Prout
More informationNEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO
NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016-03-00052 TO: RE: New York Stock Exchange LLC KCG Americas LLC, Respondent CRD No. 149823 KCG Americas LLC violated NYSE Rule
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC Certified, Return Receipt Requested TO: FROM: Chardan Capital Markets LLC Mr. Steven Urbach Chief Executive Officer 17 State Street Suite 2130 New
More informationNEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO
NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017-04-00068 TO: RE: New York Stock Exchange LLC KFM Securities, Inc., Respondent CRD No. 142186 During the period from January
More informationNO THE NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT
THE NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150467692-02 TO: RE: New York Stock Exchange LLC do Department of Enforcement Financial Industry Regulatory Authority ("FINRA")
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF Awe
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF Awe Certified, Return Receipt Requested TO: Archipelago Securities L.L.C. Mr. Paul D. Adcock Executive Principal 100 South Wacker Drive Suite 1800 Chicago,
More informationTHE NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
THE NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150457981-02 TO: RE: New York Stock Exchange LLC c/o Department of Enforcement Financial Industry Regulatory Authority ("FINRA")
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: Spartan Securities Group, Ltd. Mr. David Lopez Chief Compliance Officer 15500 Roosevelt Blvd. Suite 303
More informationACCEPTANCE AND CONSENT BACKGROUND
CBOE EDGA EXCHANGE, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031480712 TO: RE: Cboe EDGA Exchange, Inc. c/o Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Simon
More informationTHE NASDAQ OPTIONS MARKET LLC NOTICE OF ACCEPTANCE OF AWC. Certified, Return Receipt Requested
THE NASDAQ OPTIONS MARKET LLC NOTICE OF ACCEPTANCE OF AWC Certified, Return Receipt Requested TO: FROM: RBC Capital Markets, LLC Mr. Andrew C. Small Chief Compliance Officer Wealth Management 60 South
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY 1 OFFICE OF HEARING OFFICERS. Hearing Officer AWH. Respondent. February 7, 2008
FINANCIAL INDUSTRY REGULATORY AUTHORITY 1 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, v. LISA ANN TOMIKO NOUCHI (CRD No. 2367719), Complainant, Disciplinary Proceeding No. E102004083705 Hearing
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: National Financial Services, LLC Mr. Richard J. O'Brien Senior Vice President, Chief Compliance Officer
More informationFINANCIAL INDUSTRY REGULATORY AUI HORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUI HORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038125501 -?O: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA"? John D. Kavaler,
More informationNYSE ARCA, INC. Appearances
NYSE ARCA, INC. NYSE REGULATION, Complainant, v. MAURICE ELYEZER BENSOUSSAN, FINRA Proceeding No. 20120314807-09 August 9, 2018 Respondent. Respondent is liable, pursuant to Section 20(a) of the Securities
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, DISCIPLINARY PROCEEDING V. No. 2013039114102 David Paul Eller (CRD No. 2464854), Respondent. The
More informationRE: EDWARD PAUY KIM ING NOTICE OF HEARING I. BACKGROUND IN THE MATTER OF A DISCIPLINE HEARING PURSUANT TO BY-LAW 20
IN THE MATTER OF A DISCIPLINE HEARING PURSUANT TO BY-LAW 20 OF THE INVESTMENT DEALERS ASSOCIATION OF CANADA RE: EDWARD PAUY KIM ING NOTICE OF HEARING NOTICE is hereby given that a hearing will be held
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF ENFORCEMENT NO
. FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF ENFORCEMENT NO. 2010024882201 TO: RE: Department of Enforcement Financial Industry Regulatory Authority
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: FROM: Chardan Capital Markets LLC Mr. Steven Urbach President 17 State Street Suite 1600 New York, NY 10004
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC Certified, Return Receipt Requested TO: Merrill Lynch, Pierce, Fenner & Smith Inc. Mr. Steven Longo Managing Director 222 Broadway NY3-222-12-05
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043292101 TO: RE: Department of Enforcement Financial Industry Regulatory Authority (TINRA") FTB Advisors, Inc.,
More informationCERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 29926
CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. ANONYMOUS CASE HISTORIES NUMBER 29926 This is a summary of a decision issued following the October 2016 hearings of the Disciplinary and Ethics Commission
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY SD-2147
FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of the Continued Membership of Morgan Stanley Smith Barney, LLC Notice Pursuant to Rule 19h-1 of the Securities Exchange Act of 1934 SD-2147 Date:
More informationNEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT Matter Nos &
NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT Matter Nos. 201.6-11-00010 & 2018-06-00084 TO: RE: New York Stock Exchange LLC Peter Mancuso & Co., L.P., Respondent CRD No. 33095
More informationTEMPLATE: DO NOT SEND TO NFA NATIONAL FUTURES ASSOCIATION. FIRM WITHDRAWAL Instructions for Using the Firm Withdrawal Template
Instructions for Using the Firm Withdrawal Template This document is not a Firm Withdrawal Request form. Do not send this document to NFA. It is a template that you may use to assist in filing the electronic
More informationNorthwestern Mutual Investment Services, LLC
Northwestern Mutual Investment Services, LLC Financial Planning Disclosure Brochure (As of March 29, 2012) Northwestern Mutual Investment Services, LLC 611 East Wisconsin Avenue Milwaukee, Wisconsin 53202
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: FROM: Stifel, Nicolaus & Company, Incorporated Mr. Joseph Rosa Deputy General Counsel 501 North Broadway
More informationBEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATOY AUTHORITY. Complainant, Complaint No
BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATOY AUTHORITY In the Matter of Department of Enforcement, DECISION Complainant, Complaint No. 2013038986001 vs. Dated: October 5, 2017
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016627501 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Credit Suisse Securities
More informationNASD OFFICE OF HEARING OFFICERS
NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, v. Complainant, MICHAEL FRANCIS O NEILL (CRD No. 352958), Respondent. Disciplinary Proceeding No. E102003130804 Hearing Officer Andrew H. Perkins
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: FROM: Mr. Shawn Matthews Chief Executive Officer 110 East 59 1 h Street 4th Floor New York, NY 10022 The
More informationNASDAQ ISE, LLC NOTICE OF ACCEPTANCE OF AWC. RE: Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.
NASDAQ ISE, LLC NOTICE OF ACCEPTANCE OF AWC Certified, Return Receipt Requested TO: FROM: BMO Capital Markets Corp. Mr. Brad A. Rothbaum Managing Director and Chief Operating Officer 3 Times Square New
More informationln Matter No , the staff in the Fixed Income lnvestigations Section of
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. -01 TO: RE: Department ofmarket Regulation Financial Industry Regulatory Authority (''FINRA") Kenneth A. Zegar, Respondent
More informationFINDINGS OF FACTS AND VIOLATIONS. Background and Jurisdiction
NYSE ARCA, INC. FINRA DEPARTMENT OF MARKET REGULATION, Complainant, FINRA Proceeding No. 20140430990 1 v. JUMP TRADING, LLC October 28, 2016 Respondent. Respondent violated: (1) Reg NMS Rule 611(c) and
More informationBATS EDGX EXCHANGE, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
BATS EDGX EXCHANGE, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140411132-03 TO: RE: Bats EDGX Exchange, Inc. do Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Scottrade,
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC Certified, Return Receipt Requested TO: Mr. Alan Reifenberg Head of Regulation Credit Suisse Securities (USA) LLC 11 Madison Avenue 24 1 h Floor
More informationFINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, March 18, Respondent.
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, v. NOBLE B. TRENHAM (CRD No. 449157) Complainant, Respondent. Disciplinary Proceeding No. 2007007377801 HEARING
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: Interactive Brokers LLC David M. Battan Executive Vice President & General Counsel One Pickwick Plaza 2"ct
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF AWC Certified, Return Receipt Requested TO: FROM: Lawrence R. Kajmowicz 618 Dalton Place Northbrook, IL 60062 The NASDAQ Stock Market LLC ("Nasdaq")
More informationSelf-Regulatory Standards and Enforcement Practices
Self-Regulatory Standards and Enforcement Practices September 13, 2014 Alexandra Clark Director, Enforcement Litigation Overview of the Canadian Regulatory System There are several parts to the financial
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: Lime Brokerage LLC Mr. William St. Laurent Chief Compliance Officer 625 Broadway 12 1 h Floor New York,
More informationEdward Jones Transitional Retirement Account Brochure
Edward Jones Transitional Retirement Account Brochure as of March 29, 2018 Edward Jones 12555 Manchester Road St. Louis, MO 63131 800-803-3333 www.edwardjones.com Item 1: Cover Page This wrap fee program
More informationCBOE BZX EXCHANGE, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
CBOE BZX EXCHANGE, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140437870-04 TO: RE: Cboe BZX Exchange, Inc. do Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Electronic
More informationFINANCIAL INDUSTRY REGULATORY AUTHOR?TY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO
FINANCIAL INDUSTRY REGULATORY AUTHOR?TY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120353276 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA'D Michael Evangelista,
More informationTHE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC
THE NASDAQ STOCK MARKET LLC NOTICE OF ACCEPTANCE OF A WC Certified, Return Receipt Requested TO: FROM: ABN AMRO Clearing Chicago LLC Ms. Megan A. Flaherty General Counsel 175 West Jackson Blvd. Suite 400
More informationNASD OFFICE OF HEARING OFFICERS
NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAY INTERNATIONAL SECURITIES (CRD No. 23405), San Jose, CA. and DOUGLAS CONANT DAY (CRD No. 1131612), San Jose, CA, Disciplinary
More informationNASDAQ OMX BX, INC. NOTICE OF ACCEPTANCE QF AWC
NASDAQ OMX BX, INC. NOTICE OF ACCEPTANCE QF AWC Certified, Return Receipt Requested TO: Goldman, Sachs & Co. David A. Markowitz Managing Director 30 Hudson Street T7th Floor Jersey City, NJ 07302-4699
More informationSECTION I. Appointment, Activities, Authority and Status of REPRESENTATIVE
CAPITAL FINANCIAL SERVICES, INC. REPRESENTATIVE'S AGREEMENT This Agreement is executed in duplicate between Capital Financial Services, Inc., a Wisconsin corporation (hereinafter "COMPANY"), and the Sales
More informationNYSE ARCA, INC. June 19, 2018
NYSE ARCA, INC. NYSE REGULATION, Complainant, Proceeding No. 2017-06-00087 v. INTEGRAL DERIVATIVES, LLC June 19, 2018 and WILLIAM FALLON, Respondents. Integral Derivatives, LLC violated (i) NYSE Arca Rules
More information