Government Shutdown Information

2019063916701 Troy R. Baily CRD 4458930 AWC va (2020-1605745179362).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063916701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Troy R. Baily, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 4458930 Pursuant to FINRA Rule 9216, Respondent Troy R. Baily submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063005301 Travis R. Nelson CRD 6018906 AWC va (2020-1605745179126).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063005301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Travis R. Nelson (Respondent) Former General Securities Representative CRD No. 6018906 Pursuant to FINRA Rule 9216, Respondent Travis R. Nelson submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062616701 John Henry Geary CRD 853462 AWC va (2020-1605745179529).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062616701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Henry Geary (Respondent) General Securities Representative and General Securities Principal CRD No. 853462 Pursuant to FINRA Rule 9216, Respondent John Henry Geary submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 20-37

Executive Summary

The NAC has revised the principal considerations in the Sanction Guidelines to expressly contemplate a customer’s age or physical or mental impairment that renders the individual unable to protect his or her own interests.

The revised Sanction Guidelines are effective immediately and available on FINRA’s website.

Questions concerning this Notice should be directed to:

2017052478902 Planner Securities LLC CRD 36866 Humberto Santos CRD 2855514 AWC sl (2020-1605745179600).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052478902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Planner Securities LLC, Respondent Member Firm BD No. 36866 Humberto Santos, Respondent General Securities Principal CRD No. 2855514 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents Planner Securities LLC and Humberto Santos submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Ensure Discrepancies are Reported or Balance is Paid

  • Firms must submit any amount owed on the Final Statement to FINRA by this day. Money can be deposited directly into the Renewal Account, or firms can rely on FINRA to transfer funds from the firm's Flex-Funding Account beginning January 22.  In order to take advantage of this transfer, the complete amount due for renewals must be available in your firm’s Flex-Funding account.
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