2020065293202 Leigh S. Johnson CRD 7221841 AWC sl (2021-1632442811256).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065293202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Leigh S. Johnson (Respondent) Non-Registered Associated Person CRD No. 7221841 Pursuant to FINRA Rule 9216, Respondent Leigh S. Johnson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2012030731802 William H. Murphy & Co., Inc. CRD 27274 William H. Murphy CRD 343492 Order Accepting Offer sl (2021-1632442810163).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY NATIONAL ADJUTICATORY COUNCIL Department of Enforcement, Complainant v. William H. Murphy & Co., Inc. (CRD No. 27274), and William H. Murphy (CRD No. 343492), Respondents. Disciplinary Proceeding No. 2012030731802 ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 23, 2021 INTRODUCTION Disciplinary Proceeding No. 2012030731802 was filed on November 7, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant).

2020066115901 David Lynn Van Geffen CRD 1890754 AWC sl (2021-1632442810167).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066115901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Lynn Van Geffen (Respondent) General Securities Representative CRD No. 1890754 Pursuant to FINRA Rule 9216, Respondent David Lynn Van Geffen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062347901 Garrett Scott Neubart CRD 2558442 AWC jlg (2021-1632356416506).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062347901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Garrett Scott Neubart (Respondent) General Securities Representative CRD No. 2558442 Pursuant to FINRA Rule 9216, Respondent Garrett Neubart 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-2021-020

Rule Filing Status Report:  Filed for Immediate Effectiveness

Rule change to: (1) amend Form CMA (Continuing Membership Application Form) required under Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to conform to amendments to the Membership Application Program (“MAP”) rules as described in File No. SR-FINRA-2020-011, which become effective on September 1, 2021; and (2) make non-substantive and technical changes to Form CMA.

SR-FINRA-2021-021

Rule Filing Status Report:  Filed for Immediate Effectiveness

Rule change to (i) extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to February 6, 2022 and (ii) extend to April 6, 2022 the implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) and clarify that the rule does not apply if a member is registered with the SEC as a security-based swap (“SBS”) dealer (“SBSD”).

Subscribe to