2019064432901 Murray Todd Petersen CRD 1311730 AWC jlg (2021-1640305216754).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064432901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Murray Todd Petersen, Respondent Former General Securities Representative and former General Securities Principal CRD No. 1311730 Pursuant to FINRA Rule 9216, Respondent Murray Todd Petersen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

2021070667501 Caroline Mohan CRD 2429577 AWC jlg (2021-1640305217599).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070667501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Caroline Mohan (Respondent) Former General Securities Representative (GSR) CRD No. 2429577 Pursuant to FINRA Rule 9216, Respondent Caroline Mohan 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 on the

2019063101801 Minh Duc Vo CRD 5114922 AWC jlg (2021-1640305218867).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063101801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Minh Duc Vo (Respondent) Former General Securities Representative CRD No. 5114922 Pursuant to FINRA Rule 9216, Respondent Minh Vo 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 on the condition that, if

SR-FINRA-2021-030

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to require members to append modifiers to identify delayed Treasury spot and portfolio trades when reporting to FINRA’s Trade Reporting and Compliance Engine (“TRACE”).

2018059344901 StoneX Financial Inc. fka INTL FCStone Financial Inc. CRD 45993 AWC jlg (2021-1640218813098).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20180593449-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: StoneX Financial Inc., f/k/a INTL FCStone Financial Inc. (Respondent) Member Firm CRD No. 45993 Pursuant to FINRA Rule 9216, Respondent StoneX Financial Inc. 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

2017054381603 WestPark Capital, Inc. CRD 39914, Richard A. Rappaport CRD 1885122 AWC jlg (2021-1640218813166).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054381603 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: WestPark Capital, Inc. (Respondent) Member Firm CRD No. 39914 Richard A. Rappaport (Respondent) General Securities Representative and General Securities Principal CRD No. 1885122 Pursuant to FINRA Rule 9216, Respondents WestPark Capital, Inc. (WestPark) and Richard A. Rappaport submit this Letter of Acceptance, Waiver, and Consent (AWC)
Subscribe to