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2020065714602 Daniel Della Rosa CRD 2468171 Order Accepting Offer sl (2022-1642292407366).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel Della Rosa CRD No. 2468171, respondent. Disciplinary Proceeding No. 2020065714602 Hearing Officer—DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 16, 2021 Disciplinary Proceeding No. 2020065714602 was filed on November 23, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Daniel Della Rosa submitted an Offer of

2020066408902 John Daniel Quinn CRD 2576416 AWC sl (2022-1642292407324).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066408902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Daniel Quinn (Respondent) Former General Securities Representative CRD No. 2576416 Pursuant to FINRA Rule 9216, Respondent John Daniel Quinn submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2009016160001 File No 3-19870 Shlomo Sharbat CRD 2399408 SEC Decision jlg (2022-1642292407099).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 93757 / December 13, 2021 Admin. Proc. File No. 3-19870 In the Matter of the Application of SHLOMO SHARBAT For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Individual appealed FINRA’s default decision, which barred him from associating with any FINRA member firm because he failed to respond to its requests for testimony.

SR-FINRA-2021-033

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).