FCS Verification Period

As a reminder, FINRA Rule 4517 requires firms to complete an annual verification of their FINRA Contact System (FCS) contact information within the first 17 business days of each calendar year. Please log in to FINRA Gateway and perform your annual verification. This year’s deadline is Wednesday, January 26, 2022.

2017054588101 Jefferies LLC CRD 2347 AWC sl (2022-1644625221652).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054588101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jefferies LLC (Respondent), as successor to Jefferies Execution Services, Inc. Member Firm CRD No. 2347 Pursuant to FINRA Rule 9216, Respondent Jefferies LLC, as successor to Jefferies Execution Services, Inc., submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule

2021069166501 Michael Rene Pena CRD 6523538 AWC sl (2022-1644538828188).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069166501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Rene Peña (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6523538 Pursuant to FINRA Rule 9216, Respondent Michael Rene Peña 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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