2017056036301 Robert Nicholas Korzik CRD 1013350 AWC va (2020-1593130768408).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056036301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Nicholas Korzik, Respondent General Securities Representative CRD No. 1013350 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Nicholas Korzik ("Respondent" or "Korzik") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063606701 Michelle L. Gill CRD 6447758 AWC va (2020-1593130767120).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063606701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michelle L. Gill, Respondent Former Registered Representative CRD No. 6447758 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michelle L. Gill 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

Reminder – Testing U.S. Treasury Securities Executed to Hedge a Primary Market Transaction

May 26, 2020

Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier.  See additional information regarding this change in Regulatory Notice 19-30.

2019063042701 Sachin Kumar CRD 5295758 AWC sl (2020-1593130768415).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063042701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sachin Kumar, Respondent General Securities Representative CRD No. 5295758 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Sachin Kumar submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing settlement of the alleged rule violations described below.

SR-FINRA-2019-030

Rule Filing Status:  Approved

Rule change to amend the Membership Application Program (“MAP”) rules to help further address the issue of pending arbitration claims, as well as arbitration awards and settlement agreements related to arbitrations that have not been paid in full in accordance with their terms.

IM-1014-1. Evidence of Ability to Satisfy Unpaid Arbitration Awards, Other Adjudicated Customer Awards, Unpaid Arbitration Settlements or, for New Member Applications, Pending Arbitration Claims

To the extent that the Applicant or Associated Person is subject to unpaid arbitration awards, other adjudicated customer awards, unpaid arbitration settlements or, for new member applications, pending arbitration claims, the Applicant may submit with an application documentation that evidences the ability to satisfy all such awards, settlements or claims through supporting documentation.

IM-1011-2. Business Expansions and Covered Pending Arbitration Claims

The safe harbor for business expansions in IM-1011-1 is not available to any member that is seeking to add one or more Associated Persons involved in sales and one or more of those Associated Persons has a Covered Pending Arbitration Claim (as defined in Rule 1011(c)(1)), an unpaid arbitration award or unpaid settlement related to an arbitration; in such circumstances, if the member is not otherwise required to file a Form CMA in accordance with Rule 1017, the member must comply with the requirements of Rule 1017(a)(6)(B).
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