18-01388(3).pdf
other - court stipulation of reman
18-01388(2).pdf
other -court order remanding to arbitration
18-01388(4).pdf
other - respondent's and non-party Matthew Lawson's Stipulated Motion to Withdraw Remanded Claim with prejudice
Anonymous Comment On Regulatory Notice 22-08
This seems like it could easily lead to a situation where the only people who can open a self-directed account to trade in options or complex products are rich, white, financial professionals. The rich get richer.
2022073761401 Janie Garza-Clark CRD 1010752 gg (2022-1653524404414).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073761401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Janie Garza-Clark (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 1010752
Pursuant to FINRA Rule 9216, Respondent Janie Garza-Clark submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.