2017055743101 Nobles & Richards, Inc. CRD 146870 AWC jlg (2022-1647130812791).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055743101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nobles & Richards, Inc. CRD No. 146870 Pursuant to FINRA Rule 9216, Respondent Nobles & Richards, 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 on the condition that, if accepted, FINRA will not

2020068624101 Raphael Mack CRD 6391565 AWC jlg (2022-1647130812727).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068624101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raphael Mack (Respondent) General Securities Representative CRD No. 6391565 Pursuant to FINRA Rule 9216, Respondent Raphael Mack 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,

SR-FINRA-2022-002

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) to modify the query fee applicable to non-retail participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “FINRA/Nasdaq TRF Chicago”) (collectively, the “FINRA/Nasdaq TRF”).

2020065572901 Howell Gregory Ferguson CRD 4400990 AWC DM (2022-1647044416845).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065572901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Howell Gregory Ferguson (Respondent) Former General Securities Representative CRD No. 4400990 Pursuant to FINRA Rule 9216, Respondent Howell Gregory Ferguson submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to