2019062014501 Ronald G. Richer CRD 2988381 Complaint jlg (2020-1598746770656).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ronald G. Richer CRD No. 2988381, Respondent. Disciplinary Proceeding No. 2019062014501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In September 2016, while registered with FINRA through Garden State Securities, Inc., Respondent Ronald G. Richer borrowed $15,000 from a senior customer ("Customer A") without providing prior notice to, and receiving written approval from,

SR-FINRA-2020-023

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with an amendment to the CAT NMS Plan recently approved by the Commission.

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