2019064639701 Gerald Roger Dewes CRD 2465538 AWC sl (2020-1588205973524).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2019064639701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Gerald Roger Dewes, Respondent
Former General Securities Representative and General Securities Principal CRD No. 2465538
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Gerald Roger Dewes submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
19-02682.pdf
NWAWD-New Code Award Template
The Small Firm Conference Call
FINRA President and CEO Robert Cook and Senior Vice President of Member Relations and Education Chip Jones will be joined by FINRA senior staff to discuss the latest COVID-19 updates and implications for FINRA member firms.
1017. Application for Approval of Change in Ownership, Control, or Business Operations
(a) Events Requiring Application
A member shall file an application for approval of any of the following changes to its ownership, control, or business operations:
(1) a merger of the member with another member, unless both are members of the New York Stock Exchange, Inc.
1014. Department Decision
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1) The application and all supporting documents are complete and accurate.
(2) The
1011. Definitions
Unless otherwise provided, terms used in the Rule 1000 Series shall have the meaning as defined in Rule 0160.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member that files an application for approval of a change in ownership, control, or business operations und
2016048256701 Arive Capital Markets, LLC CRD 8060 AWC va (2020-1587946768854).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048256701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arive Capital Markets, LLC, Respondent Member Firm CRD No. 8060 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Arive Capital Markets, LLC ("Arive" 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.