2019062014501 Ronald R. Richer CRD 2988381 Order Accepting Offer of Settlement va (2020-1601597969652).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ronald G. Richer CRD No. 2988381, Respondent. Disciplinary Proceeding No. 2019062014501 Hearing Officer-MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 1, 2020 INTRODUCTION Disciplinary Proceeding No. 2019062014501 was filed on July 30, 2020, by the
2017052215402 Michael Rubel CRD 4935564 AWC va (2020-1601597969058).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052215402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Rubel, Respondent General Securities Representative CRD No. 4935564 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Rubel 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-2020-027
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to temporarily amend FINRA Rules 1015, 9261, 9524 and 9830 to grant FINRA’s Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) authority to conduct hearings in connection with appeals of Membership Application Program decisions, disciplinary actions, eligibility proceedings and temporary and permanent cease and desist orders by video conference, if warranted by the current COVID-19-related public health risks posed by an in-person hearing.
SR-FINRA-2020-027
Financial Industry Regulatory Authority, Inc.