2017053017203 Scott Patrick Kozak CRD 1272583 AWC sl (2020-1587255571428).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2017053017203
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Scott Patrick Kozak, Respondent
Former General Securities Representative CRD No. 1272583
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Scott Patrick Kozak submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
2018060947101 Rodney Welsh CRD 5138609 AWC sl (2020-1587255589544).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2018060947101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
Rodney Welsh, Respondent
Former Investment Company and Variable Contracts Products Representative
CRD No. 5138609
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Rodney Welsh submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2017053082701 Bay Crest Partners, LLC CRD 39944 AWC sl (2020-1587255569331).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2017053082701
TO: Department of Enforcement
Financial Industry Regulatory Authority (“FINRA”)
RE: Bay Crest Partners, LLC, Respondent
Broker-Dealer CRD No. 39944
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Bay Crest Partners, LLC (“Bay Crest” 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.
SR-FINRA-2020-009
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) concerning the resumption of trading following a Level 3 market-wide circuit breaker halt.
SR-FINRA-2020-008
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) until October 20, 2020.
SR-FINRA-2020-008
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until October 20, 2020.