SR-FINRA-2020-013

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to add industry member compliance rules relating to the Consolidated Audit Trail (“CAT”) to FINRA’s Minor Rule Violation Plan (“MRVP”).

2019063790901 Sean Michael Refsnider CRD 4762963 AWC sl (2020-1590797968791).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sean Michael Refsnider (CRD No. 4762963), Respondent. Disciplinary Proceeding No. 2019063790901 Hearing Officer: COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. From July 2019 through August 2019 (the “Relevant Period”), while associated with Ameriprise Financial Services, Inc. (“Ameriprise” or the “Firm”), Sean Michael Refsnider (“Refsnider”) converted approximately $42,000

2018060228201 Kestra Investment Services, LLC CRD 42046 AWC sl (2020-1590797967174).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060228201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kestra Investment Services, LLC, Respondent Member Firm CRD No. 42046 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Kestra Investment Services, LLC 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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