Enhance U4 Filing Experience Webinar
Register for Enhanced U4 Filing Experience Webinar - (Remote)
FINRA is hosting a series of webinars to discuss upcoming enhancements to registration workflows. The first offering in this series introduces the improved U4 filing experience that will become available in the coming months. This new functionality aims to simplify the form filing process as well as reduce submission errors.
2019064202601 John Clifford Park CRD 5864589 AWC va (2020-1585354767759).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064202601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Clifford Park, Respondent Former Registered Representative CRD No. 5864589 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Clifford Park ("Park") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.