SR-FINRA-2021-033

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”). 

This filing has been withdrawn.

2019063245601 Robert Norris CRD 4942444 AWC DM (2022-1642206021214).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063245601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Norris (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4942444 Pursuant to FINRA Rule 9216, Respondent submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020067213401 Gaetano Salvatore Ciambriello CRD 6948879 AWC jlg (2022-1642206020361).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067213401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gaetano Salvatore Ciambriello (Respondent) Former General Securities Representative (GSR) CRD No. 6948879 Pursuant to FINRA Rule 9216, Respondent Gaetano Salvatore Ciambriello submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016052104101 Devin Lamarr Wicker CRD 4228250 NAC Decision jlg (2022-1642206021995).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Devin Lamarr Wicker New York, NY, Respondent. DECISION Complaint No. 2016052104101 December 15, 2021 Registered representative converted customer funds. Held, findings and sanctions affirmed. Appearances For the Complainant: Kay Lackey, Esq., Jessica Brach, Esq., Kerry J. Land, Esq., David C. Pollack, Esq., Department of Enforcement, Financial Industry Regulatory Authority
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