2018056487101 Joseph Gunnar & Co. LLC CRD 24795 AWC va (2021-1609719594150).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056487101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Gunnar & Co. LLC (Respondent) Member Firm CRD No. 24795 Pursuant to FINRA Rule 9216, Respondent Joseph Gunnar & Co. LLC 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-2020-043
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the effective date of the temporary amendments set forth in SR-FINRA-2020-026 from December 31, 2020, to April 30, 2021.
