2018060379701 Frank V. Sapareto CRD 2274877 Complaint sl (2021-1619914806480).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Frank V. Sapareto (CRD No. 2274877), Respondent. Disciplinary Proceeding No. 2018060379701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 2018 and June 2018, while registered through Advisory Group Equity Services Ltd. (AGES), Respondent Frank V. Sapareto engaged in an outside business activity without providing prior written notice to AGES. Specifically, Sapareto created Standard Video LLC,

2019064819501 Candice E. Montie CRD 4726799 AWC sl (2021-1619914805614).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064819501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Candice E. Montie (Respondent) General Securities Representative CRD No. 4726799 Pursuant to FINRA Rule 9216, Respondent Candice E. Montie submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064055402 Ignacio Erhart Del Campo CRD 6084596 AWC DM (2021-1619914833637).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064055402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ignacio Erhart Del Campo (Respondent) Former General Securities Representative CRD No. 6084596 Pursuant to FINRA Rule 9216, Respondent Ignacio Erhart Del Campo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2021-005

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments initially set forth in SR-FINRA-2020-026 and subsequently extended in SR-FINRA-2020-043 (collectively, the “Temporary Qualification Examination Relief Filings”) from April 30, 2021, to June 30, 2021.  FINRA does not anticipate providing any further extensions to the temporary amendments identified in this proposed rule change beyond June 30, 2021.

Subscribe to