2017052828301 Kevin Barletta CRD 4691033 AWC va (2020-1605485967611).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052828301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Barletta, Respondent General Securities Representative CRD No. 4691033 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kevin Barletta submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2017052478901 Thomas Michael Rensvold CRD 1477615 AWC va (2020-1605485967472).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052478901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Michael Rensvold, Respondent General Securities Principal CRD No. 1477615 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas Michael Rensvold 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-2020-036
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until April 20, 2021.
SR-FINRA-2020-035
Financial Industry Regulatory Authority, Inc.