Election Notice – 5/8/20

Executive Summary

The annual meeting of FINRA firms will take place on or about Friday, August 7, 2020, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Wednesday, July 8, 2020. 

2018060221201 Steven Todd Gary CRD 3006884 AWC va (2020-1590365970761).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060221201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Todd Gary, Respondent Investment Company and Variable Contracts Products Limited Representative CRD No. 3006884 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Steven Todd Gary ("Gary") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018058123701 Sandra Gose Stevens CRD 1153600 AWC va (2020-1590365969621).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058123701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sandra Gose Stevens, Respondent General Securities Principal General Securities Representative Direct Participation Programs Representative Registered Options Principal Investment Company and Variable Contracts Products Representative CRD No.
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