Information Notice 4/19/22

Summary

This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department during its recent transformation.

2020068740302 Marco Antonio Rivera CRD 7003078 Decision va (2022-1652919609995).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARCO ANTONIO RIVERA (CRD No. 7003078), Respondent. Disciplinary Proceeding No. 2020068740302 Hearing Officer-BEK DEFAULT DECISION April 14, 2022 Respondent is barred from associating with any FINRA member in any capacity for failing to provide information and documents to FINRA staff.

2020066388801 Roger Braxton II CRD 6271694 Decision va (2022-1652919609211).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROGER BRAXTON II (CRD No. 6271694), Respondent Disciplinary Proceeding No. 2020066388801 Hearing Officer-MJD DEFAULT DECISION April 14, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents during a FINRA investigation, in violation of FINRA Rule 8210 and 2010.

2022074280901 Philip Anthony Riposo CRD 400056 AWC gg (2022-1652919611923).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074280901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Anthony Riposo (Respondent) Former General Securities Representative and General Securities Principal CRD No. 400056 Pursuant to FINRA Rule 9216, Respondent Philip Anthony Riposo 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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