Government Shutdown Information

2020065037601 Larry Bowman CRD 2349910 AWC jlg (2021-1617581998758).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065037601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Larry Bowman (Respondent) Former General Securities Representative (GSR) CRD No. 2349910 Pursuant to FINRA Rule 9216, Respondent Larry Bowman 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 21-11

Summary

FINRA seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations regarding when issued and other extended settlement transactions, and provide relief to facilitate the application of the rule to these transactions. 

The proposed rule text marked to show changes from the current rule text is available in Attachment A. 

2019064685902 Ernest D. Kappotis CRD 4871251 AWC va (2021-1617495599315).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064685902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ernest D. Kappotis (Respondent) General Securities Representative and Financial and Operations Principal CRD No. 4871251 Pursuant to FINRA Rule 9216, Respondent Ernest D. Kappotis 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 21-08

Summary

FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA Membership” and using the email address “[email protected]”. The email asks the recipient to respond to an issue of “regulatory non-compliance for which your immediate response is required” and then asks the recipient to click on a link or document.

FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident.

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