2019062347102 Adam Gerard Belardino CRD 5221927 Complaint sl (2021-1623543629188).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adam Gerard Belardino CRD No. 5221927, Respondent. Disciplinary Proceeding No. 2019062347102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Adam Gerard Belardino failed on two occasions to appear for on-the-record (“OTR”) testimony requested by FINRA staff pursuant to FINRA Rule 8210. As a result, Belardino violated FINRA Rules 8210 and 2010.

SR-FINRA-2021-011

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1011(p) (“specified risk event”), to correct an inadvertent drafting error and clarify the “final regulatory actions” that are included in the “specified risk event” definition for purposes of the Rule 1000 Series (Member Application and Associated Person Registration).  Rule 1011(p) was among the rules approved in File No. SR-FINRA-2020-011.

2019064188001 William H. Dixon CRD 68881 AWC va (2021-1623457215441).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064188001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William H. Dixon (Respondent) General Securities Representative CRD No. 68881 Pursuant to FINRA Rule 9216, Respondent William H. Dixon 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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