SR-FINRA-2021-030

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to require members to append modifiers to identify delayed Treasury spot and portfolio trades when reporting to FINRA’s Trade Reporting and Compliance Engine (“TRACE”).

2018059344901 StoneX Financial Inc. fka INTL FCStone Financial Inc. CRD 45993 AWC jlg (2021-1640218813098).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20180593449-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: StoneX Financial Inc., f/k/a INTL FCStone Financial Inc. (Respondent) Member Firm CRD No. 45993 Pursuant to FINRA Rule 9216, Respondent StoneX Financial Inc. 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

2017054381603 WestPark Capital, Inc. CRD 39914, Richard A. Rappaport CRD 1885122 AWC jlg (2021-1640218813166).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054381603 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: WestPark Capital, Inc. (Respondent) Member Firm CRD No. 39914 Richard A. Rappaport (Respondent) General Securities Representative and General Securities Principal CRD No. 1885122 Pursuant to FINRA Rule 9216, Respondents WestPark Capital, Inc. (WestPark) and Richard A. Rappaport submit this Letter of Acceptance, Waiver, and Consent (AWC)

2019061941101 Michael J. Giovannelli CRD 4989449 OHO Decision jlg (2021-1640218813958).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL J. GIOVANNELLI (CRD No. 4989449), Respondent. Disciplinary Proceeding No. 2019061941101 Hearing Officer–BEK DEFAULT DECISION November 19, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for providing falsified documents and false testimony to FINRA staff and engaging in unauthorized trading in a customer account. For the unauthorized trading, Respondent
Subscribe to