Technical Notice

Holiday Reminder Regarding ORF Market Data

December 17, 2019

In observance of Christmas and New Year’s Day, the ORF System will follow the schedule below:

Tuesday, December 24, 2019             Early Close
Wednesday, December 25, 2019       Closed
Wednesday, January 1, 2020              Closed

See the table below for a schedule of modified hours for Tuesday, December 24, 2019. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.

2011029713004 Lek Securities Corporation CRD 33135 and Samuel Frederik Lek CRD 1642936 Order sl (2020-1579220372132).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lek Securities Corporation (CRD No. 33135), and Samuel Frederik Lek (CRD No. 1642936), Respondents. Disciplinary Proceeding No. 20110297130-04 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT December 17, 2019 INTRODUCTION Disciplinary Proceeding No. 20110297130-04 was filed on March 27, 2017, by the Financial Industry Regulatory Authority’s (“FINRA” or the “Complainant”) Department of Enforcement.1 Respondents Lek Securities Corporation (“LSCI” or the “Firm”) and Samuel

2018057266702 Francisco Javier Valenzuela CRD 2786970 AWC va (2020-1579220372192).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057266702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Francisco Javier Valenzuela, Respondent Former General Securities Representative CRD No. 2786970 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Francisco Javier Valenzuela submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2014040293001 Cowen and Company, LLC CRD 7616 AWC va (2020-1579220372194).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040293001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cowen and Company, LLC, Respondent Broker-Dealer CRD No. 7616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cowen and Company, LLC (the "Firm" 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.
Subscribe to