2016050321201 The GMS Group, LLC CRD 8000 AWC sl (2021-1616372396281).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050321201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The GMS Group, LLC, Respondent Member Firm CRD No. 8000 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Respondent The GMS Group, LLC (Respondent 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.

2019061887701 James Alan Schumaker CRD 6829407 AWC va (2021-1616285994912).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061887701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Alan Schumaker (Respondent) General Securities Representative CRD No. 6829407 Pursuant to FINRA Rule 9216, Respondent James Alan Schumaker submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 21-06

Summary

In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.

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