Regulatory Notice 24-13
Summary
Day trading broadly refers to an overall trading strategy where a customer effects both buy and sell transactions in the same security in the same day to profit from movements in the price of the security. FINRA has had longstanding rules designed to limit the potential losses from day trading for both customers and members, and to ensure the risks of day trading are disclosed to customers.
24-01346(3).pdf
motion to vacate
2023078183801 Thomas Kuchta CRD 7503797 AWC gg (2024-1732407600882).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078183801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Thomas Kuchta (Respondent)
Former Investment Banking Representative
CRD No. 7503797
Pursuant to FINRA Rule 9216, Respondent Thomas Kuchta submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2022077235401 Jesse Brett Butler CRD 4260239 AWC vr (2024-1732407600863).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022077235401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jesse Brett Butler (Respondent)
General Securities Representative
CRD No. 4260239
Pursuant to FINRA Rule 9216, Respondent Jesse Brett Butler submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.