Government Shutdown Information

SR-FINRA-2020-017

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to extend the effective date of the temporary amendments set forth in SR-FINRA-2020-015 from June 15, 2020 to July 31, 2020. In response to the impacts on FINRA’s operations caused by the outbreak of the coronavirus disease (COVID-19), SR-FINRA-2020-015 temporarily modified some timing, method of service and other procedural requirements in FINRA rules through June 15, 2020.

2018058924502 Adam James Makkai CRD No. 4025159 Complaint va (2020-1594599567635).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adam James Makkai (CRD No. 4025159), Respondent. DISCIPLINARY PROCEEDING No. 2018058924502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2017 and March 2018 (the "Relevant Period"), Adam James Makkai improperly shared approximately $27,000 in commissions with an unregistered person.

2005000378301 Thomas G. Carr CRD 2063529 AWC sl (2020-1594599585345).pdf

NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050003783-01 TO: Department of Enforcement NASD RE: Thomas G. Carr, Respondent General Securities Representative CRD No. 2063529 Pursuant to Rule 9216 of NASD Code of Procedure, I, Thomas G. Carr ("Carr"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future
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