2018057247101 Brian Douglas Engstrom CRD 1838926 AWC va (2020-1590020372979).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057247101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Douglas Engstrom, Respondent Former General Securities Representative and General Securities Sales Supervisor CRD No. 1838926 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brian Douglas Engstrom submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018060290901 Albert Harkless, III CRD 2782039 AWC va (2020-1590020372893).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060290901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Albert Harkless, III, Respondent Investment Company and Variable Contracts Products Representative CRD No. 2782039 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Albert Harkless, III ("Harkless" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019061050401 Robert Francis Costello CRD 4624197 AWC va (2020-1590020373240).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061050401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Francis Costello, Respondent Former General Securities Representative CRD No. 4624197 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Francis Costello submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Technical NoticeOTC Transparency Data
April 20, 2020
Currently, there are display issues with the OTC Transparency Data on the otctransparency.finra.org website for the weeks of March 23 and March 30, 2020. NMS Tier 1 data is being displayed on the NMS Tier 2 and OTCE tabs for both ATS and Non-ATS data sets.
Please note, all downloads and APIs are accurate for the weeks of March 23 and March 30, 2020.
FINRA is currently investigating the issue and will publish another Technical Notice once the issue has been resolved.