2022076942401 John Scott McCoy Jr. CRD 6078788 AWC lp (2024-1719793219080).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076942401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John Scott McCoy Jr. (Respondent)
Former General Securities Representative
CRD No. 6078788
Pursuant to FINRA Rule 9216, Respondent John Scott McCoy Jr. 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-2024-009
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) to modify the trade reporting fees and caps applicable to non-retail participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret and the FINRA/Nasdaq Trade Reporting Facility Chicago.
2023077022401 Ronald H. Berg CRD 19008 AWC lp (2024-1719793221410).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023077022401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Ronald H. Berg (Respondent)
General Securities Representative
CRD No. 19008
Pursuant to FINRA Rule 9216, Respondent Ronald H. Berg submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.