Government Shutdown Information

Regulatory Notice 22-01

Executive Summary

FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees owed by BD and IA firms via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2022.

2020065901001 Mark Lloyd Post CRD 6510445 AWC sl (2022-1643242855641).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065901001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark Lloyd Post (Respondent) Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative. CRD No. 6510445 Pursuant to FINRA Rule 9216, Respondent Mark Lloyd Post submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule

2021071290001 Kyle Zachary Wittgren CRD 6221630 AWC sl (2022-1643242855775).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071290001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kyle Zachary Wittgren (Respondent) Former General Securities Representative and Uniform Securities Agent CRD No. 6221630 Pursuant to FINRA Rule 9216, Respondent Kyle Zachary Wittgren submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065310601 Robert Emmett Pitiger CRD 364117 AWC sl (2022-1642897217554).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065310601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Emmett Pitiger (Respondent) Former General Securities Representative CRD No. 364117 Pursuant to FINRA Rule 9216, Respondent Robert Emmett Pitiger 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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