2019062003101 Norman Stanley Batansky CRD 834388 AWC va (2020-1606090795470).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062003101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Norman Stanley Batansky General Securities Representative CRD No. 834388 Pursuant to FINRA Rule 9216, Respondent Norman Stanley Batansky submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017055979301 Cynthia Diane Cowden CRD 2054676 AWC va (2020-1605917967430).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055979301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia Diane Cowden (Respondent) Former General Securities Representative CRD No. 2054676 Pursuant to FINRA Rule 9216, Respondent Cynthia Diane Cowden submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020067011901 James Couture CRD 4406284 AWC va (2020-1605917967139).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020067011901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Couture, Respondent Former Registered Representative CRD No. 4406284 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Couture submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-037

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the By-Laws of FINRA Regulation, Inc. (“FINRA Regulation”), FINRA’s regulatory subsidiary, to further align the grounds for member removal from the National Adjudicatory Council (“NAC”) with an existing provision in the FINRA By-Laws related to the removal of a FINRA Governor from the FINRA Board of Governors (“FINRA Board”).

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