Government Shutdown Information

2019061214401 IBN Financial Services, Inc. CRD 42360 AWC va (2022-1652574002037).pdf

LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061214401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: IBN Financial Services, Inc. (Respondent) Member Firm CRD No. 42360 Pursuant to FINRA Rule 9216, Respondent IBN Financial Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068897201 Steven Kent Romjue CRD 1822291 AWC va (2022-1652574003189).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068897201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Kent Romjue (Respondent) Former General Securities Representative CRD No. 1822291 Pursuant to FINRA Rule 9216, Respondent Steven Kent Romjue submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 22-11

Summary

Recently, FINRA took enforcement action against several firms for failing to establish or maintain a reasonably designed supervisory system for recommendations of alternative mutual funds, also sometimes referred to as “alt funds” or “liquid alts” (“Alt Funds”). FINRA is continuing to note such deficiencies in its examinations and communications reviews of such products.

This Notice reminds member firms of their sales practice and supervisory obligations for such funds, and, to that end:

2022074131601 Shawn E. Good CRD 2022168 AWC va (2022-1652574003963).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074131601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shawn E. Good (Respondent) Former General Securities Representative CRD No. 2022168 Pursuant to FINRA Rule 9216, Respondent Shawn E. Good submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This

2020066674001 First Horizon Advisors, Inc. CRD 17117 AWC gg (2022-1652487599344).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066674001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Horizon Advisors, Inc. (Respondent) Member Firm CRD No. 17117 Pursuant to FINRA Rule 9216, Respondent First Horizon Advisors, Inc. 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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