19-03033.pdf
Consolidated with 19-02627
SR-FINRA-2020-039
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA rules to reflect name changes to two FINRA departments: (1) the Office of Dispute Resolution and (2) the Department of Registration and Disclosure.
2019062808901 Vonna Kay Husby CRD CRD 1314070 AWC va (2020-1606609195735).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062808901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vonna Kay Husby (Respondent) Former General Securities Representative CRD No. 1314070 Pursuant to FINRA Rule 9216, Respondent Vonna Kay Husby submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
SR-FINRA-2020-038
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that would require members to file retail communications concerning private placement offerings that are subject to those rules’ filing requirements.
2019062695601 William T. Burke CRD 1343203 AWC va (2020-1606522803435).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062695601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William T. Burke, Respondent Former General Securities Representative and General Securities Principal CRD No. 1343203 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent William T. Burke submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.