2015047770301 Interactive Brokers LLC CRD 36418 AWC sl (2020-1599697173024).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047770301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Interactive Brokers LLC, Respondent Member Firm CRD No. 36418 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Interactive Brokers LLC (“Interactive Brokers” 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.

2019062246401 Kimberly Ann Barentsen CRD 2092280 AWC sl (2020-1599697173852).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062246401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kimberly Ann Barentsen, Respondent Registered Representative CRD No. 2092280 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Kimberly Ann Barentsen submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064184001 Steven Michael Voce CRD 4201017 AWC sl (2020-1599438063414).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064184001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Michael Voce, Respondent Former General Securities Representative CRD No. 4201017 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Steven Michael Voce submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060288601 Omar Waleed Hammad-Randolph CRD 6087721 AWC sl (2020-1599438063690).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060288601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Omar Waleed Hammad-Randolph, Respondent Registered Representative CRD No. 6087721 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Omar Waleed Hammad-Randolph submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Arbitrator Training Videos for Virtual Hearings

COVID 19 has increased the demand for virtual arbitration and mediation hearings to ensure cases can proceed without lengthy delays. Upon request of the parties or order of the Panel, FINRA Dispute Resolution Services provides videoconferencing through the Zoom platform, accessible via finra.zoom.us.

2019062329901 Serge Parakhnevich CRD 5493064 AWC va (2020-1599351570720).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062329901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Serge Parakhnevich, Respondent General Securities Representative CRD No. 5493064 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Serge Parakhnevich 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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