2018060221201 Steven Todd Gary CRD 3006884 AWC va (2020-1590365970761).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060221201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Todd Gary, Respondent Investment Company and Variable Contracts Products Limited Representative CRD No. 3006884 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Steven Todd Gary ("Gary") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018058123701 Sandra Gose Stevens CRD 1153600 AWC va (2020-1590365969621).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058123701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sandra Gose Stevens, Respondent General Securities Principal General Securities Representative Direct Participation Programs Representative Registered Options Principal Investment Company and Variable Contracts Products Representative CRD No.
18-02824(1).pdf
Motion to Vacate
2020065586401 Jonathan Scot Zwickel CRD 1724322 AWC sl (2020-1590365969327).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2020065586401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jonathan Scot Zwickel, Respondent
General Securities Representative and General Securities Principal CRD No. 1724322
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Jonathan Scot Zwickel, submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Technical NoticeUpdates to ADF User Guide & Specifications
April 24, 2020
FINRA has updated the Alternative Display Facility (ADF) User Guide and ADF FIX Specification for Trade Reporting to now include the Members Exchange (MEMX).
Each document’s Revision History illustrates these changes and impacted fields.
8312. FINRA BrokerCheck Disclosure
(a) In response to a written inquiry, electronic inquiry, or telephonic inquiry via a toll-free telephone listing, FINRA shall release through FINRA BrokerCheck information regarding:
(1) a current or former FINRA member or a current or former member of a registered national securities exchange that uses the Central Registration Depository ("CRD") for registration purposes ("CRD Exchange") (collectively, "BrokerCheck Firms"); or
(2) a current or former associated person of a BrokerCheck Fi