Technical NoticeReminder - TRAQS and API Testing
November 30, 2020
This is a reminder that the FINRA test region (NTF) is now available for access to TRAQS using FINRA’s new Multi Factor Authorization (MFA) entitlement method. As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the TRAQS website and will be introducing a new system infrastructure.
2018057297101 Joseph V. Alhadeff CRD 2938087 AWC sl (2020-1609373998483).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018057297101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Joseph V. Alhadeff (Respondent)
Former General Securities Principal CRD No. 2938087
Pursuant to FINRA Rule 9216, Respondent Joseph V. Alhadeff submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.