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2021071260701 Doan Cong Nguyen CRD 6554242 AWC lp (2022-1653178805927).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071260701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Doan Cong Nguyen (Respondent) Former General Securities Representative (GS) CRD No. 6554242 Pursuant to FINRA Rule 9216, Respondent Doan Cong Nguyen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Special Notice – 4/22/22

Summary

FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (FINRA Board). This Notice provides:

Van Eck Securities Corporation Comment On Regulatory Notice 22-08

19-02750.pdf

21-01197.pdf

Information Notice - 4/21/22

Summary

Effective May 14, 2022, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $5.10 per million dollars in transactions to a new rate of $22.90 per million dollars in transactions.

Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-6637 or email.

Legal and interpretive questions should be directed to:

21-01557.pdf

Francesco Franzoni Comment On Regulatory Notice 22-08

2020066434701 Suresh V. Kumar CRD 5683972 Complaint gg (2022-1653092407233).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Suresh V. Kumar CRD No. 5683972, Respondent. Disciplinary Proceeding No.

2020067292901 Bruce Cameron Amman, CRD 2130243 AWC gg (2022-1653092407723).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067292901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bruce Cameron Amman (Respondent) Former General Securities Representative CRD No. 2130243 Pursuant to FINRA Rule 9216, Respondent Bruce Cameron Amman 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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