FINRA Announces Results of Board of Governors Elections

FINRA announced today the results of its election of three Governors to its Board of Governors during the annual meeting of FINRA member firms on Wednesday. The elected Governors include: Large Firm Governor — John Vaccaro, Chair and CEO, MML Investors Services; Head of MassMutual Financial Advisors; Mid-Size Firm Governor — James Crowley, CEO, Pershing Advisor Solutions; Senior Executive Vice President, Global Head of BNY Pershing Small Firm Governor — Jennifer Szaro, Chief Compliance Officer, XML Securities

2022075290601 Spencer R. Huggett CRD 4538364 AWC vr (2024-1728606002490).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075290601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Spencer R. Huggett (Respondent) General Securities Representative CRD No. 4538364 Pursuant to FINRA Rule 9216, Respondent Spencer R. Huggett submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069334401 J.P. Morgan Securities LLC CRD 79 AWC vr (2024-1728606000989).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069334401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J.P. Morgan Securities LLC (Respondent) Member Firm CRD No. 79 Pursuant to FINRA Rule 9216, Respondent J.P. Morgan Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078871001 Justin Y. Gerow CRD 4435995 AWC lp (2024-1728606000940).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078871001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Justin Y. Gerow (Respondent) Former Investment Company Products and Variable Contracts Principal CRD No. 4435995 Pursuant to FINRA Rule 9216, Respondent Justin Y. Gerow submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023079723801 Jeremy Isleman CRD 5784741 AWC lp (2024-1728606000951).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079723801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeremy Isleman (Respondent) Investment Company and Variable Contracts Products Representative General Securities Representative CRD No. 5784741 Pursuant to FINRA Rule 9216, Respondent Jeremy Isleman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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