FINRA Is Open

2019062569501 Kevin Marshall McCallum CRD 2222586 AWC va (2021-1626913230041).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062569501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Marshall McCallum (Respondent) Former General Securities Representative CRD No. 2222586 Pursuant to FINRA Rule 9216, Respondent Kevin Marshall McCallum submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017052173001 Farmers Financial Solutions, LLC AWC va (2021-1626913230230).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052173001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Farmers Financial Solutions, LLC (Respondent) Member Firm CRD No. 103863 Pursuant to FINRA Rule 9216, Respondent Farmers Financial Solutions, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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:

Subscribe to