SR-FINRA-2024-008

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Code of Arbitration Procedure for Customer Disputes (“Customer Code”) to clarify and, in some instances, amend the applicability of the Document Production Lists to simplified customer arbitrations administered under FINRA Rule 12800.

2023080242101 Jesse A. Bray CRD 6310189 AWC vr (2024-1717978808059).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080242101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jesse A. Bray (Respondent) Former General Securities Representative CRD No. 6310189 Pursuant to FINRA Rule 9216, Respondent Jesse A. Bray 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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