2019062886901 Xerxes Soli Mullan CRD 4579996 AWC sl (2020-1603498770974).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062886901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Xerxes Soli Mullan, Respondent Former General Securities Representative CRD No. 4579996 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Xerxes Soli Mullan submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057883101 Christ Elias Baltas CRD 2570499 AWC sl (2020-1603498770664).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057883101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christ Elias Baltas, Respondent Former General Securities Representative, General Securities Principal, and Operations Professional CRD No. 2570499 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Christ Elias Baltas 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

FINRA Forms Issue (FINRA Order Form, FINRA New Issue Form, FINRA Participant Agreement Form)

September 22, 2020

Update 6:15 PM, ET

FINRA has resolved the problem which was causing an error when users attempted to file a TRACE or Over the Counter Reporting Facility (ORF) form.

5:36 PM, ET

Currently, any users attempting to submit a TRACE or Over the Counter Reporting Facility (ORF) form filing will incur an error. 

2019063697901 Deborah Leah Beal CRD 5585963 AWC va (2020-1603412368886).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063697901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deborah Leah Beal, Respondent Former General Securities Representative CRD No. 5585963 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Deborah Leah Beal 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-2020-030

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of customer dispute information.

This filing has been withdrawn.

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