SR-FINRA-2021-016

Rule Filing Status:  Approved

Rule change to amend Rule 2165 (Financial Exploitation of Specified Adults) to permit member firms to: (1) extend a temporary hold on a disbursement of funds or securities or a transaction in securities for an additional 30-business days if the member firm has reported the matter to a state regulator or agency or a court of competent jurisdiction; and (2) place a temporary hold on a securities transactions where there is a reasonable belief of financial exploitation.

2021071402501 David Joseph Campanella CRD 4801465 AWC DM (2022-1647562825091).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071402501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Joseph Campanella (Respondent) Former General Securities Principal and Former General Securities Representative CRD No. 4801465 Pursuant to FINRA Rule 9216, Respondent David Joseph Campanella 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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