2016051048101 Albert Dishner CRD 1912362 AWC jlg (2020-1595031566982).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051048101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Albert Dishner, Respondent General Securities Representative CRD No. 1912362 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Albert Dishner ("Dishner") 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 – 6/25/20
Summary
FINRA’s Digital Experience Transformation is changing the way that firms and their personnel access and interact with FINRA’s systems and complete their compliance and regulatory tasks. This Information Notice highlights near-term changes to the manner in which firms and their personnel access, and interact with, FINRA’s registration and continuing education applications and provides relevant dates when FINRA anticipates those changes will occur.