The Small Firm Conference Call

FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski will be joined by Vice President of Testing and Continuing Education (CE) David Scrams to discuss the CE Transformation including information on the Maintaining Qualifications Program and the transition to an annual Regulatory Element requirement, along with important year-end reminders.

2019061737101 Albert L. DeGaetano CRD 2458569 AWC sl (2021-1639873213102).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061737101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Albert L. DeGaetano (Respondent) Former General Securities Representative CRD No. 2458569 Pursuant to FINRA Rule 9216, Respondent Albert L. DeGaetano submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068453501 Stacy Leflore CRD 5344142 AWC jlg (2021-1639873211999).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068453501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stacy Leflore (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5344142 Pursuant to FINRA Rule 9216, Respondent Stacy Leflore 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
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