2022076599501 Nathaniel Adams CRD 5703267 AWC lp (2024-1721348405319).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076599501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Nathaniel Adams (Respondent)
Former General Securities Representative
CRD No. 5703267
Pursuant to FINRA Rule 9216, Respondent Nathaniel Adams submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022074492501 Roxanne F. Campbell CRD 4424325 AWC lp (2024-1721348412846).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074492501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Roxanne F. Campbell (Respondent)
Investment Banking Principal and Investment Banking Representative
CRD No. 4424325
Pursuant to FINRA Rule 9216, Respondent Roxanne F. Campbell submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022075863301 Kepler Capital Markets, Inc. CRD 139148 AWC lp (2024-1721348405214).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075863301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kepler Capital Markets, Inc. (Respondent)
Member Firm
CRD No. 139148
Pursuant to FINRA Rule 9216, Respondent Kepler Capital Markets, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Information Notice 06/18/24
FINRA is advising member firms that the Options Clearing Corporation has issued the June 2024 Options Disclosure Document (ODD). The ODD contains general disclosures on the characteristics and risks of trading standardized options. The June 2024 ODD contains new language to update (i) the list of options markets to include MEMX, LLC and (ii) settlement information to reflect T+1 settlement.