Technical Notice

FINRA/Nasdaq TRF Networking issue

January 25, 2021

On Monday, January 25, 2021, from 9:30 a.m. ET until approximately 9:57 a.m. ET, the FINRA/Nasdaq TRF Carteret experienced a networking issue that resulted in trades in Nasdaq-listed symbols being disseminated to the SIP in an untimely manner. Reporting by clients to the FINRA/Nasdaq TRF Carteret was unaffected. There are no actions that need to be taken by clients as a result of this issue.  Questions can be forwarded to FINRA Business Services.

2016051704304 Anthony Tricarico CRD 1047416 AWC sl (2021-1614212395499).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016051704304 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony Tricarico (Respondent) Former General Securities Representative CRD No. 1047416 Pursuant to FINRA Rule 9216, Respondent Anthony Tricarico submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019060783601 David A. Jenson CRD 1333734 AWC sl (2021-1614212395876).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060783601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David A. Jenson (Respondent) General Securities Representative CRD No. 1333734 Pursuant to FINRA Rule 9216, Respondent David Jenson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018058015701 Charles Ernest Kenahan CRD 1351974 AWC sl (2021-1614212395067).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058015701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Ernest Kenahan (Respondent) Former General Securities Representative CRD No. 1351974 Pursuant to FINRA Rule 9216, Respondent Charles Ernest Kenahan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059113701 Goldman Sachs & Co. LLC CRD 361 AWC sl (2021-1614212395579).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059113701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC (Goldman 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.
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