Information Notice 4/19/22
Summary
This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department during its recent transformation.
2020068740302 Marco Antonio Rivera CRD 7003078 Decision va (2022-1652919609995).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARCO ANTONIO RIVERA (CRD No. 7003078), Respondent. Disciplinary Proceeding No. 2020068740302 Hearing Officer-BEK DEFAULT DECISION April 14, 2022 Respondent is barred from associating with any FINRA member in any capacity for failing to provide information and documents to FINRA staff.
2020066388801 Roger Braxton II CRD 6271694 Decision va (2022-1652919609211).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROGER BRAXTON II (CRD No. 6271694), Respondent Disciplinary Proceeding No. 2020066388801 Hearing Officer-MJD DEFAULT DECISION April 14, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents during a FINRA investigation, in violation of FINRA Rule 8210 and 2010.