Government Shutdown Information

2018057247201 Frederick Scott Levine CRD 1765119 AWC sl (2020-1599092378011).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057247201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frederick Scott Levine, Respondent General Securities Representative CRD No. 1765119 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Frederick Scott Levine 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

FINRA TRAQS Errors

August 03, 2020

FINRA has observed some TRAQS Web clients who continue to experience stop sign errors when attempting to access the TRAQS website.  Closing all browser sessions and opening a new session will normally alleviate this problem. 

Clients that continue to experience difficulties even after starting a new browser session should contact FINRA Operations or call 866.776.0800 so the issue can be escalated to engineering. 

FINRA will continue to track this issue and inform clients of developments.  

SR-FINRA-2020-023

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with an amendment to the CAT NMS Plan recently approved by the Commission.

2017053973701 Terence Patrick Dolan, Jr. CRD 2352516 AWC jg (2020-1598919564254).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053973701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Terence Patrick Dolan, Jr., Respondent General Securities Representative, General Securities Principal, and Operations Professional CRD No. 2352516 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Terence Patrick Dolan, Jr. (“Dolan”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017053973702 Stephen John Cass CRD 2317871 AWC jg (2020-1598919564415).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053973702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen John Cass, Respondent General Securities Representative, General Securities Principal, Financial and Operations Principal, General Securities Representative, General Securities Principal, Compliance Offer, Registered Options Principal, and Operations Professional CRD No.

2019062048401 Keith Gaines Drago, Sr. CRD 858785 AWC jlg (2020-1598919564379).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062068401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Keith Gaines Drago, Sr., Respondent General Securities Representative CRD No. 858785 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Keith Gaines Drago, Sr. (Drago or Respondent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061319201 Christopher Duke Bennett CRD 2510231 AWC jlg (2020-1598919564576).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061319201 TO: Department of Enforcement Financial industry Regulatory Authority (FINRA) RE: Christopher Duke Bennett, Respondent General Securities Representative CRD No. 2510231 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Christopher Duke Bennett ("Bennett" or "Respondent"), 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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