SR-FINRA-2021-019

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from August 31, 2021, to December 31, 2021.

2018058537302 Jorge Antonio Netto CRD 2432661 Complaint va (2021-1631492426907).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jorge Antonio Netto (CRD No. 2432661), Respondent. Disciplinary Proceeding No. 2018058537302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or around April 2017 to April 2018 (the "relevant" period), while

2020065347503 Suheydee Sonera Arce CRD 6794047 AWC DM (2021-1631492428545).pdf

FINANCIAL INDUSTY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065347503 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Suheydee Sonera Arce (Respondent) General Securities Representative CRD No. 6794047 Pursuant to FINRA Rule 9216, Respondent Suheydee Sonera Arce (Sonera)

2018059175201 Alexis Cooke CRD 5598604 AWC DM (2021-1631492429756).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059175201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alexis Cooke (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5598604 Pursuant to FINRA Rule 9216, Respondent Alexis Cooke submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020067324501 Alexander Noda CRD 7182932 AWC DM (2021-1631492428527).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067324501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alexander Noda (Respondent) Former General Securities Representative CRD No. 7182932 Pursuant to FINRA Rule 9216, Respondent Alexander Noda submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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