2016050205901Charles A. Laverty CRD 4875386 NAC va (2021-1611274796691).pdf
BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Charles A. Laverty Newport Beach, CA, Respondent. DECISION Complaint No. 2016050205901 Dated: December 22, 2020 Registered representative borrowed $1.35 million from customers without
2019063788401 Beth L. Klein Friedman CRD 1432633 AWC va (2021-1611274797099).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063788401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Beth L. Klein Friedman (Respondent) Former General Securities Representative CRD No. 1432633 Pursuant to FINRA Rule 9216, Respondent Beth L. Klein Friedman submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
SR-FINRA-2020-046
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to October 26, 2021, the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15, 2016.
2020068226101 Michael F. Shillin CRD 5927156 AWC sl (2021-1611274797184).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068226101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Michael F. Shillin (Respondent)
Former General Securities Representative CRD No. 5927156
Pursuant to FINRA Rule 9216, Respondent Michael F. Shillin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.