2019064511204 Daniel M. King CRD 5954543 AWC geg (2024-1712276418672).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064511204 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel M. King (Respondent) General Securities Representative CRD No. 5954543 Pursuant to FINRA Rule 9216, Respondent Daniel M. King submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022074655901 Joshua R. Cook CRD 4277525 AWC gg (2024-1712190004983).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074655901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joshua R. Cook (Respondent) Former General Securities Representative CRD No. 4277525 Pursuant to FINRA Rule 9216, Respondent Joshua R. Cook submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076164001 Reuben Lamont Brown CRD 7089559 AWC gg (2024-1712190004311).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076164001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Reuben Brown (Respondent) Former General Securities Representative CRD No. 7089559 Pursuant to FINRA Rule 9216, Respondent Reuben Brown submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023079740101 Stephen F. Grande CRD 2838265 AWC gg (2024-1712190004323).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079740101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen F. Grande (Respondent) General Securities Representative CRD No. 2838265 Pursuant to FINRA Rule 9216, Respondent Stephen F. Grande submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry

While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.
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