2020 FINRA Artificial Intelligence (AI) Virtual Conference On-Demand Sessions

FINRA’s Virtual Artificial Intelligence (AI) Conference and FinTech Office Hours occurred on November 9 and November 10, respectively. The Virtual AI Conference was a half day event designed to bring together regulators and industry leaders within the financial industry to discuss the use of AI and related opportunities and challenges. Register to view the sessions.

2018060213202 Alexander Edward Walker CRD 6164661 AWC sl (2020-1604535576491).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060213202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alexander Edward Walker (Respondent) Former General Securities Representative CRD No. 6164661 Pursuant to FINRA Rule 9216, Respondent Alexander Edward Walker submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

2020065552601 Kathleen M. Bott CRD 2185075 AWC sl (2020-1604535576436).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065552601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kathleen M. Bott, Respondent Former General Securities Representative and General Securities Principal CRD No. 2185075 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Kathleen Bott 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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