Government Shutdown Information

SR-FINRA-2020-009

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed 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.

2020065293201 James Blake Daughtry CRD 3272282 AWC va (2020-1587169170506).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065293201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Blake Daughtry, Respondent General Securities Representative CRD No. 3272282 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Blake Daughtry submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061868302 Tishon Lamon Afanador CRD 5026608 AWC sl (2020-1587169170260).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061868302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tishon Lamon Afanador, Respondent Former General Securities Representative CRD No. 5026608 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Tishon Lamon Afanador 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
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