2018057421801 Scott S. Niekamp CRD 3277810 AWC va (2021-1625876410003).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057421801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott S. Niekamp (Respondent) General Securities Representative CRD No. 3277810 Pursuant to FINRA Rule 9216, Respondent Scott S. Niekamp submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2014041944901 G1 Execution Services, LLC CRD 111528 AWC va (2021-1625876409583).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014041944901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: G1 Execution Services, LLC (Respondent) Member Firm CRD No. 111528 Pursuant to FINRA Rule 9216, Respondent G1 Execution Services, LLC (“G1” or “the firm”) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Shannon MacTurk Comment On Regulatory Notice 21-19
Please go ahead and execute ASAP....you have the power to help stop this manipulation! There seem to be many rules proposed and no observable action
Adam Newton Comment On Regulatory Notice 21-19
I believe that all transactions should be accounted for daily. We are in a technological age where data is king and it is easily stored. There should be no hidden transactions or ways to get around the system. Any attempt to maneuver around a law is breaking the law. Fines need to be changed to prison sentences. When stealing 100 million dollars, a prison sentence would make someone think twice. A fine does not!