2016051209103 Shawna Choate CRD 2432397 Order Accepting Offer of Settlement va (2020-1582244368481).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Shawna Choate (CRD No. 2432397), Respondent. Disciplinary Proceeding No. 2016051209103 Hearing Officer LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 21, 2020 INTRODUCTION Disciplinary Proceeding No. 2016051209103 was filed on June 18, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Shawna Choate submitted an Offer of Settlement (Offer) to
2018057649201 Aaron F. Sheehy CRD 1847401 AWC sl (2020-1582244367451).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2018057649201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Aaron F. Sheehy, Respondent
Former General Securities Representative, General Securities Principal, and Registered Options Principal CRD No. 1847401
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Aaron F. Sheehy 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 the
SR-FINRA-2020-002
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend Rule 11900 (Clearance of Corporate Debt Securities) to except certain transactions in corporate debt securities.
2018058262001 Paul William Petrillo CRD 2212735 AWC va (2020-1581898768375).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058262001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul William Petrillo, Respondent Former General Securities Representative CRD No. 2212735 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Paul William Petrillo submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
11900. Clearance of Corporate Debt Securities
(a) Each member or its agent that is a participant in a registered clearing agency, for purposes of clearing over-the-counter securities transactions, shall use the facilities of a registered clearing agency for the clearance of eligible transactions between members in corporate debt securities.
(b) Paragraph (a) of this Rule does not apply to a transaction between members (the “parties”) whose accounts are carried by a member (the “carrying member”) that clears and settles the transaction through book-keeping transfers between
2018059749401 Andrew Grant CRD 2709882 AWC va (2020-1581898768468).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059749401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Grant, Respondent General Securities Representative CRD No. 2709882 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Andrew Grant submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.