Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation

Last week, FINRA CEO Robert Cook spoke at a conference hosted by the FINRA Foundation to underscore the importance of working together to disrupt the cycle of fraud. He highlighted specific areas for further coordination and announced that FINRA will reach out operators of existing regulatory databases to explore ways to create a one-stop shop resource for investor research. On this episode, we tune in to his remarks.

2023079509001 Christina Skipper CRD 7097968 AWC gg_final.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079509001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christina Skipper (Respondent) General Securities Representative CRD No. 7097968 Pursuant to FINRA Rule 9216, Respondent Christina Skipper submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023080041701 Robert K. Thompson CRD 1975407 AWC gg (2024-1729124406332).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2023080041701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert K. Thompson (Respondent) Fonner General Securities Representative CRD No. 1975407 Pursuant to FINRA Rule 9216, Respondent Robert K. Thompson submits this Letter of Acceptance, Waiver, and Consent (A WC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066661101 Pershing LLC CRD 7560 AWC gg (2024-1729124405254).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066661101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pershing LLC (Respondent) Member Firm CRD No. 7560 Pursuant to FINRA Rule 9216, Respondent Pershing LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2024082375901 Tamarah Daniel Taylor CRD 4237020 AWC gg (2024-1729124405280).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082375901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tamarah Daniel Taylor (Respondent) General Securities Representative CRD No. 4237020 Pursuant to FINRA Rule 9216, Respondent Tamarah Daniel Taylor submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066831101 Colorado Financial Services Corporation CRD 104343 AWC gg (2024-1729124406621).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066831101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Colorado Financial Service Corporation (Respondent) Member Firm CRD No. 104343 Pursuant to FINRA Rule 9216, Respondent Colorado Financial Service Corporation submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072848301 Carolina Financial Securities, LLC CRD 41970 AWC gg (2024-1729124405526).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072848301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carolina Financial Securities, LLC (Respondent) Member Firm CRD No. 41970 Pursuant to FINRA Rule 9216, Respondent Carolina Financial 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.

2023079916101 Monique Russell CRD 6274243 AWC gg (2024-1729124406432).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079916101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Monique Russell (Respondent) Investment Company Shares and Variable Contracts Representative CRD No. 6274243 Pursuant to FINRA Rule 9216, Respondent Monique Russell 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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