SR-FINRA-2019-025

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until April 20, 2020.

2016050914401 Simon Michael Joseph CRD 5602157 AWC va (2019-1573345195628).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050914401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Simon Michael Joseph, Respondent General Securities Representative CRD No. 5602157 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Simon Michael Joseph submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2018059088001 Maureen Scalzo CRD 1349675 AWC jm (2019-1573345204470).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059088001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Maureen Scalzo, Respondent Former General Securities Representative CRD No. 1349675 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Maureen Scalzo submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2019061847901 Stephen Klinger CRD 1294139 AWC jm (2019-1573345197252).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061847901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Klinger, Respondent Former General Securities Representative CRD No. 1294139 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stephen Klinger submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
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