Government Shutdown Information

2018059564801 Raymond James & Associates, Inc. CRD 705_Raymond James Financial Services, Inc. CRD 6694 AWC gg (2024-1727569209832).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059564801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond James & Associates, Inc. (Respondent) Member Firm CRD No. 705 Raymond James Financial Services, Inc. (Respondent) Member Firm CRD No. 6694 Pursuant to FINRA Rule 9216, Respondents Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc.

2021072167901 Stewart Ginn CRD 4503197 Offer gg (2024-1727569209564).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DISCIPLINARY PROCEEDING DEPARTMENT OF ENFORCEMENT, Complainant, v. STEWART GINN (CRD No. 4503197), Respondent NO. 2021072167901 HEARING OFFICER–MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 29, 2024 INTRODUCTION Disciplinary Proceeding No. 2021072167901 was filed on October 17, 2023, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA” or “Complainant”). Respondent Stewart Ginn submitted an Offer of Settlement (“Offer”) to Complainant dated August 16, 2024.

2022076585601 Place Trade Financial CRD 126867 AWC geg (2024-1727569209467).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076585601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Place Trade Financial, Inc. (Respondent) Member Firm BD No. 126867 Pursuant to FINRA Rule 9216, Respondent Place Trade 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.

2018057297102 MARK SAM KOLTA CRD5324620 Extended Hearing Panel Decision df (2024-1727569209686).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARK SAM KOLTA (CRD No. 5324620), Respondent. Disciplinary Proceeding No. 2018057297102 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION Date: August 15, 2024 Respondent Mark Sam Kolta made unsuitable recommendations to 16 customers to invest $4.8 million in a real estate investment trust, or REIT.

T + 1

This course reviews rule changes related to the recent transition to T + 1 settlement. It also discusses best practices to help firms comply with these changes and prevent fails to deliver of securities.

Estimated Completion Time: 15 Minutes

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