SR-FINRA-2020-033

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).

2019063570502 Matthew R. Logan CRD 5366984 Complaint sl (2020-1604794768619).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Matthew R. Logan (CRD No. 5366984), Respondent. Disciplinary Proceeding No. 2019063570502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In October 2018, Matthew R. Logan, while a registered representative at Homor, Townsend & Kent, LLC (HTK or Firm), cheated on his FINRA Regulatory Element continuing education exam by directing his Assistant, a person associated with HTK, to complete the exam on his behalf.

2019062207301 Stephen Leroy Whittaker CRD 831764 AWC sl (2020-1604794769137).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062207301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Leroy Whittaker (Respondent) Former General Securities Representative CRD No. 831764 Pursuant to FINRA Rule 9216, Respondent Stephen Leroy Whittaker submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

2018057742301 Raymond James & Associates, Inc. CRD 705 AWC RRM (2020-1604794768587).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057742301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond James & Associates, Inc., Respondent Member Firm CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Raymond James & Associates, Inc. (Raymond James or the firm) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061365001 Dwight L. Dykstra CRD 1028210 AWC va (2020-1604708368020).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061365001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dwight L. Dykstra, Respondent Former General Securities Representative, Investment Company and Variable Contracts Products Representative, and Investment Company Products/Variable Contracts Principal CRD No. 1028210 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dwight L.

2020065315701 Neemit M. Shah CRD 4812480 AWC sl (2020-1604708367891).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065315701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Neemit M. Shah, Respondent General Securities Representative CRD No. 4812480 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Neemit M. Shah submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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