Government Shutdown Information

2021071094401 John Pelletier CRD 4205289 OHO Decision df (2024-1722126013960).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN PELLETIER (CRD No. 4205289), Respondent. Disciplinary Proceeding No. 2021071094401 Hearing Officer–MC EXTENDED HEARING PANEL DECISION June 25, 2024 Respondent John Pelletier is suspended from associating with any FINRA member firm in any capacity for three months and fined $10,000 for effecting 16 unauthorized transactions in a customer’s retirement account in violation of FINRA Rule 2010. Appearances For the Complainant: Robert Kennedy, Esq., Nicholas Pilgrim, Esq., and John R.

2018059178401 Austin R Dutton Jr CRD 2739167 OHO Default Decision df (2024-1720138809267).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AUSTIN R. DUTTON, JR. (CRD No. 2739167), Respondent. Disciplinary Proceeding No. 2018059178401 Hearing Officer–RES DEFAULT DECISION May 29, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for making unsuitable recommendations of alternative investments; falsifying books and records of a FINRA member firm; and failing to respond, or failing to respond in a timely manner, to FINRA Rule 8210 requests for information and documents.

SR-FINRA-2024-010

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure), which governs the information FINRA releases to the public via FINRA’s BrokerCheck® tool, to exclude from release through BrokerCheck the street address of a registered location that is reported and identified to FINRA as a private residence. The proposed rule change would help address privacy and safety concerns raised by broker-dealer firms and their associated persons about the release through BrokerCheck of the full address of an associated person’s private residential registered location.

2023079717701 Nicholas Marchelos CRD 5957506 AWC gg (2024-1722126013600).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079717701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nicholas Marchelos (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5957506 Pursuant to FINRA Rule 9216, Respondent Nicholas Marchelos submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076175702 Azmi Sharif CRD 6481342 AWC lp (2024-1722126013586).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076175702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Azmi Sharif (Respondent) General Securities Representative CRD No. 6481342 Pursuant to FINRA Rule 9216, Respondent Azmi Sharif 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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