2024080917901 Robert F. Muller CRD 1778892 AWC lp (2025-1747527598346).pdf
Between November 2023 and January 2024, while associated with a FINRA member,
Muller participated in a private securities transaction by selling to six investors $400,000
in limited partnership interests for a retail business franchise without prior disclosure to
his firm. As a result, Muller violated FINRA Rules 3280 and 2010 and is suspended for 4
months and fined $10,000.
23-00501(4).pdf
Motion to Vacate
23-00501(5).pdf
Order to Vacate
23-00501(3).pdf
Motion to Vacate
Robert T. Mann Comment On Regulatory Notice 25-07
Re reducing regulatory burden:
Eliminate the monthly Focus filing requirement for small, fully disclosed investment firms.
Eliminate the PCAOB required CPA to do the annual audit for FINRA, and the SEC.
Reduce the length of time FINRA takes to do the periodic firm exam remotely.
Michael Garawski
Michael Garawski is Senior Vice President and Director, Appellate Group, in FINRA’s Office of General Counsel (OGC). Mr. Garawski manages the program that advises FINRA’s National Adjudicatory Council and that represents FINRA in appeals that challenge FINRA’s regulatory actions before the SEC.