2019061646402 Eugene J. Long CRD 2386267 AWC va (2020-1596327568667).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061646402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eugene J. Long, Respondent General Securities Representative and General Securities Principal CRD No. 2386267 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Eugene J. Long submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018058286901 WILFREDO FELIX CRD 2693672 PRIMEX PRIME ELECTRONIC EXECUTION, INC dba PRIMEX CRD 29394 Decision sl (2020-1596327568508).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT, Complainant, v. WILFREDO FELIX (CRD No. 2693672) and PRIMEX PRIME ELECTRONIC EXECUTION, INC. d/b/a PRIMEX (CRD No. 29394), Respondents. Disciplinary Proceeding No. 2018058286901 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION July 1, 2020 Respondent Wilfredo Felix is barred in all capacities for failing to provide a personal tax-related document during the investigation of this matter. Felix and Primex made and preserved inaccurate
2017053677201 Timothy Patrick McLanahan CRD 2356791 AWC sl (2020-1596327570204).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2017053677201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Timothy Patrick McLanahan, Respondent
Registered Representative CRD No. 2356791
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Timothy Patrick McLanahan submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019061646401 Robert J. McNamara CRD 1207495 AWC va (2020-1596241170863).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061646401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert J. McNamara, Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1207495 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert J. McNamara submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Technical NoticeFINRA Legacy File Transfer Service Decommission
July 01, 2020
FINRA’s legacy file transfer service (filetransfer.finra.org) will be shut down on 7/1/2020. By now, all FINRA applications file transfers that were using the legacy service should have migrated to fileX file transfer service. Details about fileX service and user guide can be found on https://www.finra.org/filing-reporting/data-transfer-tools/fileX.
2018057940801 Cadaret, Grant & Co., Inc. CRD 10641 AWC va (2020-1596241170040).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057940801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cadaret, Grant & Co., Inc., Respondent Member Firm CRD No. 10641 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cadaret, Grant & Co., Inc. ("Cadaret Grant" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
20160510627 3-17734r Keith P Sequeira CRD 3127528 Court of Appeals sl (2020-1596241169738).pdf
UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT No. 19-1997 KEITH P. SEQUEIRA, Petitioner v. SECURITIES & EXCHANGE COMMISSION On Petition for Review of an Order of the Securities and Exchange Commission (Agency No. SEC-1:3-17734r) Submitted Pursuant to Third Circuit LAR 34.1(a) May 11, 2020 Before: AMBRO, GREENAWAY, JR. and PORTER, Circuit Judges (Opinion filed June 11, 2020)