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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064706501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carlos Sosa CRD No. 7153226 Pursuant to FINRA Rule 9216, Respondent Carlos Sosa submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070337401 Kishan Parikh CRD 5506554 Complaint va (2021-1618618802394).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kishan Parikh (CRD No. 5506554), Respondent. DISCIPLINARY PROCEEDING No. 2021070337401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Kishan Parikh, while associated with FINRA member Aegis Capital Corp. ("Aegis" or the "Firm"), made unsuitable recommendations and excessively traded the

Regulatory Notice 21-12

Summary

FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.   

Questions concerning the best execution guidance discussed in this Notice should be directed to:

2019062886902 Tonya Nicole Smoake CRD 4985049 AWC sl (2021-1618618802395).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062886902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tonya Nicole Smoake (Respondent) Former General Securities Representative CRD No. 4985049 Pursuant to FINRA Rule 9216, Respondent Tonya Nicole Smoake submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
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