2022076214401 Diptes Basu CRD 6185923 AWC gg (2024-1723854010014).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076214401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Diptes Basu (Respondent)
Former General Securities Representative
CRD No. 6185923
Pursuant to FINRA Rule 9216, Respondent Diptes Basu submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
22-01537(2).pdf
Motion to Vacate
18-03388(4).pdf
Order to Confirm
FINRA Publishes 2024 Industry Snapshot
FINRA published the 2024 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms and market activity that FINRA oversees.
2022076162101 Laura Casey CRD 2684465 AWC vr (2024-1723854010008).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076162101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Laura Casey (Respondent)
Former General Securities Representative
CRD No. 2684465
Pursuant to FINRA Rule 9216, Respondent Laura Casey submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
21-02824(4).pdf
Appeal