2019062217101 Jeremy Joseph Cook CRD 6341736 AWC va (2020-1589156371602).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062217101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeremy Joseph Cook, Respondent General Securities Representative CRD No. 6341736 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Jeremy Joseph Cook, submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2019-027

Rule Filing Status:  Approved

Rule change to amend FINRA Rules 12100, 12202, 12214, 12309, 12400, 12601, 12702, 12801, 12900, and 13100 to expand a customer’s options to withdraw an arbitration claim if a member or an associated person becomes inactive before a claim is filed or during a pending arbitration. In addition, the proposed amendments would allow customers to amend pleadings, postpone hearings, request default proceedings and receive a refund of filing fees in these situations.

Regulatory Notice 20-11

Summary

FINRA amended its Code of Arbitration Procedure for Customer Disputes (Customer Code) to expand a customer’s options to withdraw an arbitration claim if a member firm or an associated person becomes inactive.1 These amendments also allow customers to amend pleadings, postpone hearings, request default proceedings and receive a refund of filing fees in these situations.

The amendments are effective for cases filed on or after June 29, 2020.

Questions concerning this Notice should be directed to:

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