Regulatory Notice 21-13
Summary
This Notice announces, effective immediately, clarifications of interpretations of FINRA margin requirements regarding day trading (Rule 4210(f)(8)(B)(ii)).
Questions concerning this Notice should be directed to:
2019063926101 Allan Katz CRD 2166004 AWC va (2021-1619050800799).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063926101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Allan Katz (Respondent) General Securities Representative CRD No. 2166004 Pursuant to FINRA Rule 9216, Respondent Allan Katz submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
RR&WS
Registered Retirement & Wealth Specialist (RR&WS)
RAA
Registered Annuity Advisor (RAA)
2019060754601 Dalmore Group LLC CRD 136352 AWC va (2021-1619050799997).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060754601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dalmore Group LLC (Respondent) Member Firm CRD No. 136352 Pursuant to FINRA Rule 9216, Respondent Dalmore Group LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.