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2016052104101 Devin Lamarr Wicker CRD 4228250 Extended Hearing Panel Decision va (2020-1594340369623).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DEVIN LAMARR WICKER (CRD No. 4228250), Respondent. Disciplinary Proceeding No. 2016052104101 Hearing Officer-LOM EXTENDED HEARING PANEL DECISION June 5, 2020 Respondent, Devin Lamarr Wicker, is barred from association with any FINRA member in any capacity for converting $50,000 of customer funds, in violation of FINRA Rule 2150(a) and 2010. He also is ordered to

2018058983601 Dee Dee Brooks CRD 2559233 AWC va (2020-1594340369880).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058983601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dee Dee Brooks, Respondent Former Investment Company and Variable Contracts Product Representative CRD No. 2559233 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dee Dee Brooks 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 20-18

Summary

FINRA has amended its suitability rule, Capital Acquisition Broker (CAB) suitability rule and rules governing non-cash compensation to provide clarity on which standard applies and to address potential inconsistencies with the Securities and Exchange Commission’s (SEC’s) Regulation Best Interest (Reg BI).1 These changes have been approved by the SEC and become effective on June 30, 2020, the compliance date of Reg BI.

The text of the amended rules is set forth in Attachment A.

Questions regarding this Notice should be directed to:

2019063560201 Hector Luis Luna CRD 1078900 AWC sl (2020-1594340368643).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063560201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hector Luis Luna, Respondent Former Registered Representative CRD No. 1078900 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Hector Luis Luna (“Luna”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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