2019063585501 John Pace McConkie CRD 6092544 AWC sl (2020-1599178770763).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063585501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Pace McConkie, Respondent Former Registered Representative CRD No. 6092544 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John Pace McConkie submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060840101 Victor A Rigoni III CRD 4272056 Complaint sl (2020-1599178770984).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Victor A. Rigoni, III CRD No. 4272056, Respondent. Disciplinary Proceeding No. 2018060840101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From August 2012 through March 2019, Victor A. Rigoni, III willfully failed to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose six unsatisfied federal and state tax liens totaling $164,521. On average, Rigoni

Regulatory Notice 20-26

Summary

FINRA reminds firms to evaluate their exposure to LIBOR (formerly, the London Interbank Offered Rate), and review their preparedness to manage LIBOR’s phase-out. To understand how firms are preparing for that phase-out, FINRA surveyed a representative cross-section of member firms, including some firms with significant trading volume or positions in LIBOR-linked securities. This Notice provides a summary of the results of the survey.

Questions concerning this Notice should be directed to:

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