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”).