2021071199401 Patrick Joseph O'Neill CRD 2615841 AWC sl (2022-1650154818096).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071199401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Joseph O’Neill (Respondent) General Securities Representative CRD No. 2615841 Pursuant to FINRA Rule 9216, Respondent Patrick Joseph O’Neill submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063924601 Performance Trust Capital Partners, LLC CRD 36155 AWC jlg (2022-1650154818661).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063924601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Performance Trust Capital Partners, LLC (Respondent) Member Firm CRD No. 36155 Pursuant to FINRA Rule 9216, Respondent Performance Trust Capital Partners, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

SR-FINRA-2022-006

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).

SR-FINRA-2022-006

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).

2020066817601 Steven Martin Barnett CRD 1143510 AWC sl (2022-1650068416273).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066817601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Martin Barnett (Respondent) Former General Securities Representative CRD No. 1143510 Pursuant to FINRA Rule 9216, Respondent Steven Martin Barnett 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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