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.

2013035345701 Titan Securities CRD 131392 Brad C. Brooks CRD 1584633 Richard Wayne Demetriou CRD 828433 NAC Decision va (2021-1625271622675).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Titan Securities Addison, TX, Brad C. Brooks Addision, TX, and Richard Wayne Demetriou Dunwoody, GA, Respondents. DECISION Complaint No. 2013035345701 Dated: June 2, 2021 Registered representative made material, false and misleading statements to customers, engaged in undisclosed, unapproved outside business activities,

Regulatory Notice 21-19

Summary

FINRA is requesting comment on potential enhancements to its short sale reporting program.  FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity.

Information Notice 6/3/21

Summary

In 2019, the Securities and Exchange Commission (SEC) adopted amendments1 that revise certain of the Financial and Operational Combined Uniform Single (FOCUS) reporting and annual report requirements that apply to brokers and dealers pursuant to SEA Rule 17a-52 to take account of security-based swap (SBS) activity.

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