SR-FINRA-2021-014

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change relating to members’ filing requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11). 

2021070775901 Jeffrey Warren CRD 2707969 AWC va (2021-1624839616984).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070775901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Warren (Respondent) Former General Securities Representative CRD No. 2707969 Pursuant to FINRA Rule 9216, Respondent Jeffrey Warren 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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