2016051813401 KGS-Alpha Capital Markets, L.P., nka BMO Capital Markets Corp. CRD 151705 AWC jlg (2020-1578269978826).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051813401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: KGS-Alpha Capital Markets, L.P., n/k/a BMO Capital Markets Corp., Respondent Broker-Dealer CRD No. 151705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent KGS-Alpha Capital Markets, L.P. ("KGS-Alpha" or the "Firm"), n/k/a BMO Capital Markets Corp.
2013039634703 Key Investment Services LLC CRD 136300 AWC jlg (2020-1578269979238).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2013039634703 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Key Investment Services LLC, Respondent Member Firm CRD No. 136300 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Key Investment Services LLC ("KIS," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
2015044806901 Nomura Securities International, Inc. CRD 4297 AWC jlg (2020-1578269980558).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150448069101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nomura Securities International, Inc., Respondent Member Firm CRD No. 4297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Nomura Securities International, Inc. ("Nomura" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
2018059315002 Roxana Sophia McKinney CRD 4830895 AWC va (2020-1578269978722).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059315002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roxana Sophia McKinney, Respondent CRD No. 4830895 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roxana Sophia McKinney submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
7610A. Securities Transaction Credit
FINRA members that trade securities listed on the NYSE ("Tape A"), Amex and regional exchanges ("Tape B"), or Nasdaq ("Tape C") in over-the-counter transactions reported to the FINRA/Nasdaq Trade Reporting Facility may receive from the FINRA/Nasdaq Trade Reporting Facility transaction credits based on the transactions attributed to them.