2018056848101 Thomas Lee Johnson CRD 1215434 NAC Decision jlg (2021-1636158009073).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Thomas Lee Johnson, Carmel, IN, Respondent. AMENDED DECISION1 Complaint No. 2018056848101 Dated: October 6, 2021 Respondent converted funds from his former employer. Held, findings and sanctions affirmed. Appearances For the Complainant: Joseph E. Strauss, Esq., and John Luburic, Esq., Department of Enforcement, Financial Industry Regulatory Authority

2016050801702 Merrrill Lynch, Pierce, Fenner & Smith Inc. CRD 7691 AWC jlg (2021-1636158009040).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016050801702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce, Fenner & Smith Inc. (Respondent) Member Firm BD No. 7691 Pursuant to FINRA Rule 9216, Respondent Merrill Lynch, Pierce, Fenner & Smith inc. (Merrill) 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

Regulatory Notice 21-35

Summary

FINRA requests comment on a proposal to require members to publish quarterly order routing disclosure reports for held orders in OTC Equity Securities. The proposed new quarterly reports would be similar to those required for NMS stocks under the Securities and Exchange Commission’s (SEC) Rule 606(a) of Regulation NMS, with certain modifications reflecting the different structure of the OTC market. FINRA also requests input on possible steps to further facilitate investor access and understanding of current order routing disclosures for NMS securities.

Subscribe to