FINRA Annual Conference
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
22-02428(5).pdf
motion to vacate
22-02428(4).pdf
order to confirm
2021069395701 Dalmore Group LLC CRD 136352 AWC lp (2024-1729210810247).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069395701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Dalmore Group LLC (Respondent)
Member Firm
CRD No. 136352
Pursuant to FINRA Rule 9216, Respondent Dalmore Group LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation
Last week, FINRA CEO Robert Cook spoke at a conference hosted by the FINRA Foundation to underscore the importance of working together to disrupt the cycle of fraud. He highlighted specific areas for further coordination and announced that FINRA will reach out operators of existing regulatory databases to explore ways to create a one-stop shop resource for investor research. On this episode, we tune in to his remarks.