2019062922001 Raymond Alagao Velasco Sr CRD 4867519 AWC sl (2021-1620260411806).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019062922001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Raymond Alagao Velasco, Sr. (Respondent)
Former General Securities Representative
CRD No. 4867519
Pursuant to FINRA Rule 9216, Respondent Raymond Alagao Velasco, Sr. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020066608501 Gregory J. Mancuso CRD 5681691 OHO Decision va (2021-1619914806736).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Gregory J. Mancuso (CRD No. 5681691), Respondent. Disciplinary Proceeding No. 2020066608501 Hearing Officer-DRS DEFAULT DECISION March 31, 2021 For providing false testimony during an on-the-record interview, in violation of FINRA Rules 8210 and 2010, Respondent Gregory J. Mancuso is barred in all capacities from associating with any FINRA member firm.
SR-FINRA-2021-006
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from April 30, 2021, to August 31, 2021.