Government Shutdown Information

Election Notice - 8/19/2024

Summary

The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.

A formal notice of the NAC election and ballot listing all certified candidates will be mailed to the executive representatives of all eligible small firm FINRA members on or about Oct. 18, 2024. 

2022077355801 SAL Equity Trading, GP CRD 29337 AWC gg (2024-1726446016373).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2022077355801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SAL Equity Trading, GP (Respondent) Member Firm CRD No. 29337 Pursuant to FINRA Rule 9216, Respondent SAL Equity Trading, GP (SALET) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076491301 Christopher Reynolds CRD 5976029 AWC geg (2024-1726446017425).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076491301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Reynolds (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5976029 Pursuant to FINRA Rule 9216, Respondent Christopher Reynolds submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060128401 Michael Charles Grande CRD 1219255 OHO Default Decision df (2024-1726446016007).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL CHARLES GRANDE (CRD No. 1219255), Respondent. Disciplinary Proceeding No. 2018060128401 Hearing Officer–BDC AMENDED DEFAULT DECISION1 August 16, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Appearances For the Complainant: Isaiah Sakany, Esq., Albert A.
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