2022073421501 Marvin Somlo CRD 6617205 AWC lp (2024-1720829997482).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073421501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Marvin Somlo (Respondent)
General Securities Representative
CRD No. 6617205
Pursuant to FINRA Rule 9216, Respondent Marvin Somlo submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023080454101 Rosaline Alam CRD 5742202 AWC gg (2024-1720743612976).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023080454101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Rosaline Alam (Respondent)
Former General Securities Representative
CRD No. 5742202
Pursuant to FINRA Rule 9216, Respondent Rosaline Alam submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
Election Notice - 06/14/2024
Summary
The annual meeting of FINRA firms will take place on or about September 11, 2024, to elect one Large Firm Governor, one Mid-Size Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about August 12, 2024.