Regulatory Notice 24-10

Summary

FINRA reminds members of its policy prohibiting members and their associated persons from making audio or video recordings of conversations between FINRA staff and member firm personnel during calls or meetings related to FINRA’s oversight functions.

Questions regarding this Notice should be directed to Carrie Jordan, Principal Counsel, Office of General Counsel, at (212) 858-4210 or by email.

2021071099404 Western International Securities, Inc. CRD 39262 AWC lp (2024-1724890816381).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071099404 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc. (Respondent) Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216, Respondent Western International Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070602901 The Jeffrey Matthews Financial Group, LLC CRD 41282 AWC lp (2024-1724631611505).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070602901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Jeffrey Matthews Financial Group, LLC (Respondent) Member Firm CRD No. 41282 Pursuant to FINRA Rule 9216, Respondent The Jeffrey Matthews Financial Group, LLC 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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