FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets

FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.

2024081404501 Vincent Mallon CRD 5039515 AWC gg (2024-1725236411818).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081404501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent Mallon (Respondent) General Securities Representative CRD No. 5039515 Pursuant to FINRA Rule 9216, Respondent Vincent Mallon submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023079737001 Rosanne R. Gil CRD 5635916 AWC vr (2024-1725236411621).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079737001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rosanne R. Gil (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5635916 Pursuant to FINRA Rule 9216, Respondent Rosanne Gil submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075977501 Ben Jen (CRD 7701847_Ray Rohne (CRD 1942268) Complaint gg (2024-1725150015729).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2022075977501 Department of Enforcement, Complainant, v. Ben Jen (CRD No. 7701847) and Ray Rohne (CRD No. 1942268), Respondents. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondents Ben Jen and Ray Rohne failed to cooperate, or fully cooperate, in FINRA’s investigation into their activities regarding a failed sale of shares in a private space exploration company. Jen failed to produce certain documents and information FINRA requested pursuant to FINRA Rule 8210.

2024082044301 Ryan T. Murphy CRD 4332032 AWC vr (2024-1725150018901).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082044301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ryan T. Murphy (Respondent) Former General Securities Representative CRD No. 4332032 Pursuant to FINRA Rule 9216, Respondent Ryan T. Murphy 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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