SR-FINRA-2024-016

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.

2023079709101 Nathan Lemberg CRD 5955295 AWC gg (2024-1730679601500).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079709101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nathan E. Lemberg (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5955295 Pursuant to FINRA Rule 9216, Respondent Nathan E. Lemberg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2024081392301 Christian Scalia CRD 7616259 AWC vr (2024-1730679601729).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081392301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christian Scalia (Respondent) Former Associated Person CRD No. 7616259 Pursuant to FINRA Rule 9216, Respondent Christian Scalia submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023079740601 Taulant Matthew Kodi CRD 7091117 AWC vr (2024-1730679601599).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079740601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Taulant Matthew Kodi (Respondent) Former Associated Person CRD No. 7091117 Pursuant to FINRA Rule 9216, Respondent Taulant Matthew Kodi 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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