Government Shutdown Information

2012031851101 Yona S Thomas FKA Yona S Reaux CRD 4677245 AWC sl (2020-1592093969040).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120318511 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Yona S. Thomas, formerly known as Yona S. Reaux, Respondent Registered Representative CRD No. 4677245 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Yona S. Thomas, formerly

2017055209801 BHA Select Network LLC CRD 168883 Daniel Conor McDermott CRD 4521850 AWC sl (2020-1592093968472).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055209801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BHA Select Network, LLC, Respondent Member Firm CRD No. 168883 Daniel Conor McDermott, Respondent General Securities Representative, General Securities Principal, Operations Professional, and Compliance Officer CRD No. 4521850 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents BHA Select Network, LLC (“BHA” or the “Firm”) and Daniel Conor McDermott submit this

2020066342101 Arthur Hoffman CRD 3193754 AWC sl (2020-1592093969665).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066342101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arthur Hoffman, Respondent CRD No. 3193754 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Arthur Hoffman submits this Letter of Acceptance, Waiver and Consent (A WC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018058319801 Merrill Lynch, Pierce Fenner & Smith Incorporated CRD 7691 AWC va (2020-1592007566266).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058319801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce Fenner & Smith Incorporated, Respondent Member Firm CRD No. 7691 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Merrill Lynch, Pierce Fenner & Smith Incorporated ("Merrill Lynch" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINRA Gateway Webinar

Learn about FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is the next generation of Firm Gateway, and is designed to streamline compliance and reporting by providing a more flexible solution that can be customized to hone in on each user’s role and priorities in the firm.

2016051704303 Steven Robert Luftschein CRD 2690117 Complaint va (2020-1592007565894).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven Robert Luftschein (CRD No. 2690117), Respondent. Disciplinary Proceeding No. 2016051704303 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Steven Robert Luftschein, while associated with Aegis Capital Corp. ("Aegis" or the "Firm"), a FINRA-regulated broker-dealer, churned and excessively traded the
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