Government Shutdown Information

2018056490320 Bryan J. Moskowitz CRD 6063246 AWC gg (2024-1733962804573).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2018056490320 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan J. Moskowitz (Respondent) General Securities Representative CRD No. 6063246 Pursuant to FINRA Rule 9216, Respondent Bryan J. Moskowitz submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022073262401 G. research, LLC CRD 7353 AWC lp (2024-1733962804565).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073262401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: G.research, LLC (Respondent) Member Firm CRDNo. 7353 Pursuant to FINRA Rule 9216, Respondent G.research, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060897201 Concorde Investment Services, LLC CRD 151604 AWC gg (2024-1733962804563).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060897201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Concorde Investment Services, LLC (Respondent) Member Firm CRD No. 151604 Pursuant to FINRA Rule 9216, Respondent Concorde Investment Services, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2024-018

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to amend Rule 13606 to provide that the Director of FINRA Dispute Resolution Services will provide a copy of the official record of an expungement hearing held pursuant to Rule 13805, and any transcription if the recording is transcribed, to any customers, upon request, who attend and participate in the expungement hearing, or who provide their position on the expungement request in writing.

2021072096901 Leo R. Vassallo CRD 1920639 AWC vr (2024-1733962804562).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, W AIYER, AND CONSENT NO. 2021072096901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Leo R. Vassallo (Respondent) Former General Securities Representative CRD No. 1920639 Pursuant to FINRA Rule 9216, Respondent Leo R. Vassallo 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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