2019064876101 Roland Gerbauld CRD 4494232 AWC va (2020-1608337198302).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064876101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roland Gerbauld, Respondent Former General Securities Representative CRD No. 4494232 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roland Gerbauld submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017052325702 Coastal Equities Inc. CRD 23769 AWC va (2020-1608337198329).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052325702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Coastal Equities, Inc., Respondent Member Firm CRD No. 23769 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Coastal Equities, Inc. ("Coastal" 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.

Technical Notice

Holiday Reminder Regarding ADF Market Data

November 19, 2020

In observation of the Thanksgiving holiday, the FINRA Alternative Display Facility (ADF) will be closed on Thursday, November 26, 2020. 

Please be advised that the ADF will close early on Friday, November 27, 2020. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.

Market Session Normal Hours Modified Hours for Friday, November 27, 2020

Pre Market Session

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