2016051704305 Aegis Capital Corp. CRD 15007 AWC jlg (2021-1639181998043).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016051704305 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aegis Capital Corp. (Respondent) Member Firm CRD No. 15007 Pursuant to FINRA Rule 9216, Respondent Aegis Capital Corp. (Aegis) 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,

Information Notice 11/12/21

Summary

To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2022 or the first quarter of 2023.1 FINRA reminds members that all such filings they submit to FINRA must be made electronically through FINRA Gateway.

2021070896602 Steven D. Musielski CRD 2128821 AWC sl (2021-1639095661243).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070896602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven D. Musielski (Respondent) Former General Securities Representative and Former General Securities Principal CRD No. 2128821 Pursuant to FINRA Rule 9216, Respondent Steven D. Musielski submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

2020067945101 Patrick Pierre-Louis CRD 5465279 AWC sl (2021-1639095619983).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067945101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Pierre-Louis (Respondent) Former Investment Company and Variable Contracts Products Representative (IR) CRD No. 5465279 Pursuant to FINRA Rule 9216, Respondent Patrick Pierre-Louis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

2020067610801 Jose Luis Batalla CRD 4140971 AWC jlg (2021-1639095621102).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020067610801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Jose Luis Batalla, Respondent Investment Company and Variable Contracts Products Representative CRD No. 4140971 Pursuant to FINRA Rule 9216, Respondent Jose Luis Batalla 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
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