SR-FINRA-2021-015

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 1240 (Continuing Education Requirements).  The proposed rule change also makes conforming amendments to FINRA Rule 1210 (Registration Requirements).

2020066651001 Nicholas R. Palumbo CRD 1069948 AWC va (2021-1625271623159).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066651001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nicholas R. Palumbo (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1069948 Pursuant to FINRA Rule 9216, Respondent Nicholas R. Palumbo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017055132601 Woong Seong Hwang CRD AWC 4400271 AWC va (2021-1625358013967).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055132601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Woong Seong Hwang (Respondent) General Securities Representative CRD No. 4400271 Pursuant to FINRA Rule 9216, Respondent Woong Seong Hwang (Hwang) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016047624502 Todd Farrell Sherman CRD 3259162 AWC va (2021-1625271623139).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016047624502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Todd Farrell Sherman (Respondent) Former General Securities Representative CRD No. 3259162 Pursuant to FINRA Rule 9216, Respondent Todd Farrell Sherman 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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