2018059717201 Stephen Paul Florio CRD 1186577 AWC va (2020-1600561166101).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059717201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Paul Florio, Respondent General Securities Representative CRD No. 1186577 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stephen Paul Florio 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 20-30

Summary

Several firms have recently informed FINRA that malicious actors are using registered representatives’ names and other information to establish websites (“imposter websites”) that appear to be the representatives’ personal sites and are also calling and directing potential customers to use these imposter websites.

Technical Notice

FINRA New Issue Submission Platform Training Videos

August 19, 2020

As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020.  The new platform will be available with the same log in credentials used to access the FINRA New Issue Form today.

FINRA has now included a training video to assist clients in the transition to the new platform.

Subscribe to