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Regulatory Notice 21-08

Summary

FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA Membership” and using the email address “[email protected]”. The email asks the recipient to respond to an issue of “regulatory non-compliance for which your immediate response is required” and then asks the recipient to click on a link or document.

FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident.

2017054643601 ITG, Inc. CRD 29299 AWC jlg (2021-1617409198965).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054643601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ITG, Inc. (Respondent) Member Firm CRD No. 29299 Pursuant to FINRA Rule 9216, Respondent ITG, Inc. (ITG), now known as Virtu Americas LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2011025675501 Kimberly Springsteen-Abbott CRD 1367633 Court of Appeals jlg (2021-1617409199106).pdf

United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued December 1, 2020 Decided February 26, 2021 No. 20-1092 KIMBERLY SPRINGSTEEN-ABBOTT, PETITIONER v. SECURITIES AND EXCHANGE COMMISSION, RESPONDENT On Petition for Review of an Order of the Securities & Exchange Commission Dominic E. Draye argued the cause for petitioner. With him on the briefs was Steven M. Felsenstein. Daniel Staroselsky, Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for respondent. With him on the brief was John W. Avery, Deputy Solicitor.

2020065315901 Richard Scott Shelley CRD 2671545 AWC jlg (2021-1617409198463).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065315901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Scott Shelley, Respondent Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 2671545 Pursuant to FINRA Rule 9216, Respondent Richard Scott Shelley submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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