2017056197101 Timothy Robert Millis CRD 706959 AWC jm (2019-1576196377959).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056197101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Robert Millis, Respondent CRD No. 706959 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Timothy Robert Millis submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

SR-FINRA-2019-028

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 6750 to provide that FINRA may publish or distribute aggregated transaction information and statistics on U.S. Treasury Securities.  

2019063631801 Philip Joseph Sparacino CRD 3243960 AWC va (2019-1576109973870).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063631801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Philip Joseph Sparacino, Respondent Former Corporate Securities Representative and Registered Options Representative CRD No. 3243960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Philip Joseph Sparacino submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059391501 Jun Zhou CRD 2825595 AWC va (2019-1576109973354).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059391501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jun Zhou, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 2825595 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jun Zhou submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057112001 John G. Hoagland CRD 247075 AWC va (2019-1576109974026).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057112001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John G. Hoagland, Respondent Former Registered Representative CRD No. 247075 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John G. Hoagland submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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