2020067348501 Brian Maguire CRD 5011014 AWC jlg (2021-1621556400434).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067348501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Brian Maguire (Respondent)
Former Research Analyst and General Securities Representative
CRD No. 5011014
Pursuant to FINRA Rule 9216, Respondent Brian Maguire submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020066700601 Gilbert W. Cox CRD 2973703 AWC va (2021-1621470006509).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066700601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gilbert W. Cox (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2973703 Pursuant to FINRA Rule 9216, Respondent Gilbert W. Cox 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 21-16
Summary
FINRA reminds member firms about requirements when using predispute arbitration agreements for customer accounts. Where member firms use mandatory arbitration clauses in their customer agreements, FINRA rules establish minimum disclosure requirements regarding the use of such clauses and prohibit predispute arbitration agreements from including conditions that, among other things, limit or contradict FINRA rules. In addition, FINRA rules do not allow class action claims in FINRA arbitration.
