SR-FINRA-2024-005

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to retire the FINRA Rule 10000 Series (Code of Arbitration Procedure).

2023078504001 Joseph Samuel Vanelli III CRD 6656001 AWC lp (2024-1715991603727).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078504001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Samuel Vanelli III (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6656001 Pursuant to FINRA Rule 9216, Respondent Joseph Samuel Vanelli III, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064856101 Flow Traders U.S. LLC CRD 150780 AWC gg (2024-1715905221418).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064856101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Flow Traders U.S. LLC (Respondent) Member Firm CRD No. 150780 Pursuant to FINRA Rule 9216, Respondent Flow Traders U.S. LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020067072101 Christopher Joseph McCoy CRD 4113108 AWC gg (2024-1715905221504).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067072101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Joseph McCoy (Respondent) Former General Securities Representative CRD No. 4113108 Pursuant to FINRA Rule 9216, Respondent Christopher Joseph McCoy submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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