Retrieve (and Schedule Payment for) the Preliminary Statement in E-Bill

Preliminary Statements are available in E-Bill beginning Nov. 11. E-Bill is now integrated into FINRA Gateway. Entitled users can access the new E-Bill experience by logging in to FINRA Gateway to view renewal accounts, generate annual renewal statements, pay annual renewal assessments, and enable email alerts about the Renewal Program. Many firms find it convenient to submit or schedule their payment while logged in to E-Bill to retrieve the statement. Preliminary Statement reports are also available in CRD and IARD.

2019063931601 Portsmouth Financial Services CRD 13980 and Matthew Jason Childs CRD 3110916 AWC lp (2024-1726186826979).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063931601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Portsmouth Financial Services (Respondent) Member Firm CRD No. 13980 Matthew Jason Childs (Respondent) General Securities Representative CRD No. 3110916 Pursuant to FINRA Rule 9216, Respondents Portsmouth Financial Services and Matthew Jason Childs submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

ARB240001 Jason Malcom Pirnie CRD 2878458 OHO Expedited Decision (2024-1726186825739).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON MALCOM PIRNIE (CRD No. 2878458), Respondent. Expedited Proceeding No. ARB240001 STAR No. 20240810310 Hearing Officer– DRS EXPEDITED DECISION July 8, 2024 Respondent failed to pay an industry-related arbitration award and failed to prove that he had a bona fide inability to pay or make a meaningful payment toward the award.

ARB240008 John Lawrence Davis CRD 3028243 OHO Expedited Decision df (2024-1726186826683).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN LAWRENCE DAVIS (CRD No. 3028243), Respondent. Expedited Proceeding No. ARB240008 Star No. 20240817517 Hearing Officer–MC EXPEDITED DECISION August 6, 2024 Respondent failed to pay an industry-related arbitration award. At a hearing, he did not establish that he had a bona fide inability to pay or make a meaningful payment toward the award.
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