2023079723501 Christopher Mancini CRD 2774915 AWC lp (2024-1728692411754).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LEITER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079723501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher C. Mancini (Respondent) Investment Company Products and Variable Contracts Reprcsentauve CRD No. 2774915 Pursuant to FINRA Rule 9216, Respondent Christopher C. Mancini submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078910401 Giovanni Perez CRD 7742375 AWC lp (2024-1728692405615).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078910401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Giovanni Perez (Respondent) Former Associated Person CRD No. 7742375 Pursuant to FINRA Rule 9216, Respondent Giovanni Perez ("Perez") submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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
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