2017053820401 INTL FCStone Financial Inc CRD 45993 AWC sl (2020-1602461970848).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053820401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: INTL FCStone Financial Inc., Respondent Member Firm CRD No. 45993 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent INTL FCStone Financial Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016051318601 ViewTrade Securities, Incorporated CRD 46987 AWC sl (2020-1602461970682).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051318601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ViewTrade Securities, Incorporated, Respondent Member Finn CRD No. 46987 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent ViewTrade Securities, Incorporated (ViewTrade 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.

2019062041901 David A. Rizzo CRD 4882628 AWC jlg (2020-1602461970339).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062041901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David A. Rizzo, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 4882628 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent David A. Rizzo submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Technical Notice

FINRA to disable Transport Layer Security (TLS) version 1.0 and version 1.1

September 10, 2020

Effective 09/30/2020 FINRA will disable support for Transport Layer Security (TLS) protocol versions 1.0 and 1.1  for all web applications/API connections. Firms using older clients/browsers that do not support TLS version 1.2 and above will not be able to establish connectivity with FINRA web applications/APIs.

2019062068401 Keith Gaines Drago, Sr. CRD 858785 AWC jlg (2020-1602375589077).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062068401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Keith Gaines Drago, Sr., Respondent General Securities Representative CRD No. 858785 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Keith Gaines Drago, Sr. (Drago or Respondent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062245601 Lauren L. Wing CRD 5803987 AWC va (2020-1602375571332).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062245601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lauren L. Wing, Respondent Former General Securities Representative CRD No. 5803987 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lauren L. Wing 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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