Government Shutdown Information

2019061329701 Eric Lowell Small CRD 2140208 AWC va (2020-1595549967648).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061329701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric Lowell Small, Respondent Registered Representative CRD No. 2140208 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Eric Lowell Small ("Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2014041860801 Sandlapper Securities, LLC CRD 137906 Trevor Lee Gordon CRD 2195122 Jack Charles Bixler CRD 22331 NAC Decision va (2020-1595549967348).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Sandlapper Securities, LLC, Greenville, SC, Trevor Lee Gordon, Greenville, SC, and Jack Charles Bixler, Greenville, SC, Respondents. DECISION Complaint No. 2014041860801 Dated: June 23, 2020 Member firm, its chief executive officer, and its vice-president misrepresented and omitted material facts concerning sales of fractional interests in saltwater disposal wells. In addition, the firm's chief executive

Technical Notice

Holiday Reminder Regarding ORF Market Data

June 25, 2020

In observance of Independence Day, the ORF System will be closed on Friday, July 3, 2020. As stated in the data feed interface specifications, FINRA may send out unmarked test data via its data feeds on market holidays. Direct data feed subscribers, including recipients of the Trade Data Dissemination Service 2.0 (TDDS 2.0) and Bulletin Board Dissemination Service (BBDS) feed(s) should take the necessary precautions to prevent data corruption.

Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.

Technical Notice

Holiday Reminder Regarding TRACE Market Data

June 25, 2020

In observance of Independence Day, the TRACE system will be closed on Friday, July 3, 2020. As stated in the data feed interface specifications, FINRA may send out unmarked test data via its data feeds on market holidays. Direct data feed subscribers, including recipients of TRACE data via the Bond Trading Dissemination Service (BTDS), Agency Trading Dissemination Service (ATDS), Structured Products Dissemination Services (SPDS) and/or 144A Trade Dissemination Services (144A) feed(s) should take the necessary precautions to prevent data corruption.

SR-FINRA-2020-020

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer).

2016047624303 Michael N Catoggio CRD 2402269 AWC sl (2020-1595549967231).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047624303 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael N. Catoggio, Respondent Former General Securities and Registered Options Principal, General Securities and Municipal Securities Representative, and Operations Professional CRD No. 2402269 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Michael N. Catoggio submits this Letter of Acceptance, Waiver and Consent (AWC)
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