2015047496103 Harvey Frank CRD 2109605 AWC va (2020-1578615572591).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047496103 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harvey Frank, Respondent General Securities Representative CRD No. 2109605 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Harvey Frank submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2015047496101 Brett David Levinson CRD 2644880 AWC va (2020-1578615571459).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047496101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brett David Levinson, Respondent General Securities Representative CRD No. 2644880 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brett David Levinson 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-2019-029

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 7610A to modify the securities transaction credits that apply to FINRA members that utilize the FINRA/Nasdaq Trade Reporting Facility Carteret and the FINRA/Nasdaq Trade Reporting Facility Chicago.

2017054267101 Louis Ward CRD 2080639 AWC va (2020-1578529175277).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054267101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Louis Ward, Respondent General Securities Representative, General Securities Principal, Investment Banking Representative, Investment Banking Principal, and Operations Professional CRD No.
Subscribe to