Information Notice – 4/8/20

FINRA is issuing this Information Notice to inform members of the existence and role of the Cross-Market Regulation Working Group (CMRWG), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (ISG), to focus on ways to reduce unnecessary regulatory duplication.

Please see the attached ISG CMRWG Regulatory Memorandum 2020-01 (“Notice”) that was issued by the Participants of the ISG CMRWG. Questions concerning this Notice should be directed to [email protected]. 

2018057098801 Timothy B. Hetrick CRD 2048466 AWC va (2020-1588897168359).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057098801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy B. Hetrick, Respondent Registered Representative CRD No. 2048466 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Timothy B. Hetrick submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065923601 Ollisha H. Taylor CRD 6737330 AWC va (2020-1588810771535).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 202006592301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ollisha H. Taylor, Respondent Former Associated Person CRD No. 6737330 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Ollisha H. Taylor, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2012030564701 Admin Proc File No 3-18555 Newport Coast Securities, Inc. CRD 16944 SEC Decision sl (2020-1588810771405).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 88548 / April 3, 2020 Admin. Proc. File No. 3-18555 In the Matter of the Application of NEWPORT COAST SECURITIES, INC. For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING Former member firm appeals from FINRA disciplinary action finding that it was liable for its registered representatives’ excessive trading, churning, and qualitatively unsuitable recommendations, and that it
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