SR-FINRA-2019-006

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Capital Acquisition Broker (“CAB”) Rules governing qualification, registration and continuing education of associated persons of CABs (CAB Rules 119-125) to reflect new consolidated FINRA qualification and registration rules and changes to its continuing education requirements which took effect on October 1, 2018 (collectively, the “Consolidated Rules”).

2018058777101 Kari Ann Buckles CRD 6443019 AWC va (2019-1569543582073).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058777101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kari Ann Buckles, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6443019 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kari Ann Buckles submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

2009017530101_FDA_KX15621 (2019-1569543591191).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JO ANN MARIE HEAD (CRD No. 3009195), Respondent. Disciplinary Proceeding No.2009017530101 Hearing Officer- SNB DEFAULT DECISION July 7,2011 Respondent is barred from associating with any FINRA registered firm for: (1) conveying false and exaggerated account values to two customers, in violation of NASD Rule 2110

2019061086301 Craig A. Zabala CRD 2740680 AWC va (2019-1569543589654).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061086301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Craig A. Zabala, Respondent Former Registered Representative CRD No. 2740680 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Craig A. Zabala submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2016050957901 Innovation Partners LLC CRD 146344 Yanique Lawrence CRD 3234186 Order Accepting Offer sl (2019-1569543582604).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Innovation Partners LLC (BD No. 146344), Patrick Emanuel Sutherland (CRD No. 3042322), and Yanique Lawrence (CRD No. 3234186), Respondents. Disciplinary Proceeding No. 2016050957901 Hearing Officer—CC ORDER ACCEPTING OFFER OF SETTLEMENT ON BEHALF OF INNOVATION PARTNERS LLC AND YANIQUE LAWRENCE Date: August 26, 2019 INTRODUCTION Disciplinary Proceeding No. 2016050957901 was filed on November 26,
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