2016048613101 Clearpool Execution Services, LLC CRD 168490 AWC sl (2021-1626913228937).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016048613101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clearpool Execution Services, LLC (Respondent) Member Firm CRD No. 168490 Pursuant to FINRA Rule 9216, Respondent Clearpool Execution Services, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 21-23

Summary

FINRA is issuing this Notice to remind member firms of longstanding Securities and Exchange Commission (SEC) and FINRA rules and guidance concerning best execution and payment for order flow, which the SEC has defined very broadly to refer to a wide range of practices including monetary payments and discounts, rebates, or other fee reductions or credits. Under these rules and guidance, member firms may not let payment for order flow interfere with their duty of best execution.

Questions concerning this Notice should be directed to:

Anonymous Comment On Regulatory Notice 21-17

The political actions already by many of your member firms have had the opposite effect of diversity in the industry in which I am employed and licensed. I am a veteran but our company has chosen to close early on a non market holiday tomorrow June 18th, 2021. We don't close or close early for veterans day which is also to honor ALL of those who have served to preserve liberty, including the black soldiers who gave their lives to defend emancipation day.

2019061941101 Michael J. Giovannelli CRD 4989449 Complaint va (2021-1626567613142).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Michael J. Giovannelli CRD No. 4989449, Respondent. Disciplinary Proceeding No. 2019061941101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February and April 2020, while registered through Spartan Capital Securities, LLC (“Spartan”) (CRD No. 146251), Respondent Michael J. Giovannelli made 12
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