The Small Firm Conference Call
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski will be joined by FINRA staff to discuss recent FINRA updates and technology changes including CE Transformation, FINRA Gateway and CAT.
17-01368(2).pdf
Motion to Vacate
17-01368(3).pdf
Order to Confirm
2018056436001 Andrea Wood CRD 2000589 Order Accepting Offer sl (2020-1607213996222).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Integrity Brokerage Services, Inc. (CRD No. 117589), Joshua Helmle (CRD No. 2195760), Marc N. Jaffe (CRD No. 2187547), and Andrea Wood (CRD No. 2000589), Respondents. Disciplinary Proceeding No. 2018056436001 Hearing Officer---LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 4, 2020 INTRODUCTION Disciplinary Proceeding No. 2018056436001 was filed on April 22, 2020, by the Department