SR-FINRA-2020-039

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA rules to reflect name changes to two FINRA departments: (1) the Office of Dispute Resolution and (2) the Department of Registration and Disclosure.

2019062808901 Vonna Kay Husby CRD CRD 1314070 AWC va (2020-1606609195735).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062808901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vonna Kay Husby (Respondent) Former General Securities Representative CRD No. 1314070 Pursuant to FINRA Rule 9216, Respondent Vonna Kay Husby submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to