Government Shutdown Information

2018057522001 Jeffrey Scott Nimmow CRD 2693601 AWC sl (2020-1584058767008).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057522001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Scott Nimmow, Respondent Former Investment Company Shares/Variable Contracts Representative CRD No. 2693601 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jeffrey Scott Nimmow (“Respondent” or “Nimmow”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

Technical Notice

NTF Availability for CTCI-MQ Protocol Users

February 10, 2020

On Tuesday February 11, 2020, and Wednesday, February 12, 2020, the FINRA Test Facility (NTF) will be unavailable for clients who test using the CTCI-MQ.protocol.  This affects FINRA's Trade Reporting and Compliance Engine (TRACE) and the OTC Reporting Facility (ORF).  

FIX and CTCI-TCP/IP protocols in the NTF region as well as all production systems are unaffected by this event.

Please contact FINRA Operations or call (866) 776-0800 with questions regarding this notice.

TRF Regulation SHO - 2020

Pursuant to a U.S. Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for off-exchange (i.e., OTC) trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF). FINRA makes two types of files available: (1) Daily Short Sale Volume Files; and (2) Monthly Short Sale Transaction Files (collectively, the Short Sale Files).

2017056688202 Daniel J. Arcuri, Jr. CRD 2200431 OHO Decision sl (2020-1583972369578).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL J. ARCURI, JR. (CRD No. 2200431), Respondent. Disciplinary Proceeding No. 2017056688202 Hearing Officer-DW DEFAULT DECISION February 7, 2020 For twice failing to appear and provide on-the-record testimony during an investigation as required by FINRA Rule 8210, Respondent is barred from associating with any FINRA member in any capacity. Appearances For the Complainant: Elson Ho, Esq., Eric Hansen, Esq., and Richard Chin, Esq., Department
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