2019062699901 Katie Ann Hudson CRD 5508543 AWC va (2020-1596154766805).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062699901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Katie Ann Hudson, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5508543 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Katie Ann Hudson ("Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Regulatory Notice 20-21
Summary
This Notice provides guidance to help member firms comply with FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning private placement offerings.
Questions concerning this Notice should be directed to:
2020065575901 Michael J. Iannarino CRD 1258453 AWC va (2020-1596154768594).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065575901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael J. Iannarino, Respondent General Securities Representative CRD No. 1258453 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael J. Iannarino submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Election Notice – 7/8/20
Summary
FINRA will conduct its Annual Meeting of firms on Friday, August 7, 2020, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board).1
2018059200701 Henry A Taylor III CRD 4641256 AWC sl (2020-1596154766824).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2018059200701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Henry A. Taylor III, Respondent
Registered Representative CRD No. 4641256
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Henry A. Taylor III submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2014042606902 Silver Leaf Partners LLC CRD 126694 NAC Decision sl (2020-1596154769005).pdf
BEFORE THE NATIONAL ADJUDICATORY COUNCIL
FINANCIAL INDUSTRY REGULATORY AUTHORITY
In the Matter of Department of Enforcement, Complainant, vs.
Silver Leaf Partners, LLC New York, NY,
Respondent.
Decision
Complaint No. 2014042606902 Dated: June 29, 2020
Member firm failed to establish and maintain a supervisory system reasonably designed to achieve compliance with applicable securities laws, regulations, and FINRA rules, and paid transaction-based compensation to nonmember brokers. Held, findings affirmed and sanctions modified.