2019061376901 Chad P. Meyer CRD 4213067 AWC va (2020-1585786768727).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061376901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chad P. Meyer, Respondent Variable Contracts Products Representative CRD No. 4213067 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Chad P. Meyer ("Meyer") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2017055815301 Jody Thompson CRD 2391190 AWC sl (2020-1585786766756).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2017055815301
TO: Department of Enforcement
Financial Industry Regulatory Authority (“FINRA”)
RE: Jody Thompson, Respondent
General Securities Representative CRD No. 2391190
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jody Thompson (“Thompson”) 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
2016049955301 Matthew Duane Sibley CRD 3102207 AWC sl (2020-1585786766791).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2016049955301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Matthew Duane Sibley, Respondent
General Securities Representative CRD No. 3102207
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Matthew Duane Sibley 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
SR-FINRA-2020-006
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA Rule 7620B (FINRA/NYSE Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility.
2018057548201 ACS Execution Services, LLC CRD 17972 AWC va (2020-1585527567125).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057548201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ACS Execution Services, LLC, Respondent Member Firm CRD No. 17972 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent ACS Execution Services, LLC ("Respondent" 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.