2022073966101 Mutual Securities, Inc. CRD 13092 AWC lp (2024-1721607613309).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073966101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mutual Securities, Inc. (Respondent) Member Firm CRD No. 13092 Pursuant to FINRA Rule 9216, Respondent Mutual Securities, Inc., submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations

Financial social media influencers or finfluencers are growing in popularity as a cheap way to reach a new generation of investors. But using this newer form of advertising comes with risks. On this episode, we learn more about the regulatory requirements around the use of social media influencers and hear some best practices for firms looking to make use of “finfluencer” programs.

2019060753508 Michael R. Rosalia CRD 2323953 Complaint gg (2024-1721521221997).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael R. Rosalia (CRD No. 2323953), Respondent. Disciplinary Proceeding No. 2019060753508 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Michael R. Rosalia (“Rosalia”) failed to appear and provide testimony requested pursuant to FINRA Rule 8210 as part of FINRA’s investigation into whether Rosalia engaged in excessive and unsuitable trading in his customers’ accounts. As a result, Rosalia violated FINRA Rules 8210 and 2010.
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