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2017054220101 Janney Montgomery Scott LLC CRD 463 AWC sl (2020-1602289170575).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054220101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Janney Montgomery Scott LLC, Respondent Member Firm CRD No. 463 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Janney Montgomery Scott LLC (JANY) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017054381601 Harry Seth Datys CRD 1877750 AWC va (2020-1602202767886).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054381601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harry Seth Datys, Respondent Former General Securities Representative CRD No. 1877750 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Harry Seth Datys 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

OTC Transparency Data Publication Delay

September 08, 2020

FINRA is experiencing an issue this morning with the display of Weekly OTC Transparency Data for the week of August 17, 2020 (Tier 1) on the OTC Transparency Data website. However, the data is available via the API. The issue is currently being investigated and a subsequent notice will be published once the data is available on the website.

If you have any questions, please contact ATS Support.

2020065898801 John R. Jaramillo CRD 2659263 AWC sl (2020-1602202767712).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065898801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: John R. Jaramillo, Respondent Former General Securities Representative, Investment Company and Variable Contracts Products Representative and Investment Company Products and Variable Contracts Principal CRD No. 2659263