2019064979001 Christopher Joseph CRD 6841532 AWC jlg (2022-1644711661635).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064979001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Joseph (Respondent) Former General Securities Representative CRD No. 6841532 Pursuant to FINRA Rule 9216, Respondent Christopher Joseph 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

FCS Verification Period

As a reminder, FINRA Rule 4517 requires firms to complete an annual verification of their FINRA Contact System (FCS) contact information within the first 17 business days of each calendar year. Please log in to FINRA Gateway and perform your annual verification. This year’s deadline is Wednesday, January 26, 2022.

2017054588101 Jefferies LLC CRD 2347 AWC sl (2022-1644625221652).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054588101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jefferies LLC (Respondent), as successor to Jefferies Execution Services, Inc. Member Firm CRD No. 2347 Pursuant to FINRA Rule 9216, Respondent Jefferies LLC, as successor to Jefferies Execution Services, Inc., submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
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