2020067348701 Tyler D. Delahunt CRD 4419594 AWC sl (2021-1614298800761).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067348701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tyler D. Delahunt (Respondent) Former General Securities Representative CRD No. 4419594 Pursuant to FINRA Rule 9216, Respondent Tyler D. Delahunt submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Technical Notice

FINRA/Nasdaq TRF Networking issue

January 25, 2021

On Monday, January 25, 2021, from 9:30 a.m. ET until approximately 9:57 a.m. ET, the FINRA/Nasdaq TRF Carteret experienced a networking issue that resulted in trades in Nasdaq-listed symbols being disseminated to the SIP in an untimely manner. Reporting by clients to the FINRA/Nasdaq TRF Carteret was unaffected. There are no actions that need to be taken by clients as a result of this issue.  Questions can be forwarded to FINRA Business Services.

2016051704304 Anthony Tricarico CRD 1047416 AWC sl (2021-1614212395499).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016051704304 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony Tricarico (Respondent) Former General Securities Representative CRD No. 1047416 Pursuant to FINRA Rule 9216, Respondent Anthony Tricarico submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019060783601 David A. Jenson CRD 1333734 AWC sl (2021-1614212395876).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060783601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David A. Jenson (Respondent) General Securities Representative CRD No. 1333734 Pursuant to FINRA Rule 9216, Respondent David Jenson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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