Russell Kemp

Russell Kemp is Director of Market Regulation’s Fixed Income Compliance Group responsible for the U.S. Treasuries and Municipal Bonds data integrity surveillance programs. Previously, Mr. Kemp also led multiple investigations involving various fixed income products both as an analyst and as a Manager within Market Regulation.

Prior to joining FINRA, Mr. Kemp led a team of associates within T. Rowe Price’s Retirement Plan Services group to provide asset allocation guidance and general retirement education to company-sponsored plan participants. 

2018057952801 Oppenheimer & Co. Inc. CRD 249 AWC jlg (2021-1621815610176).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057952801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Oppenheimer & Co. Inc. (Respondent) Member Firm CRD No. 249 Pursuant to FINRA Rule 9216, Respondent Oppenheimer & Co. Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061942701 Tania L. Smith CRD 5208859 AWC va (2021-1621729209897).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061942701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tania L. Smith (Respondent) General Securities Representative CRD No. 5208859 Pursuant to FINRA Rule 9216, Respondent Tania L. Smith 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 21-17

Summary

FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within the industry. 

Questions regarding this Notice should be directed to:

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