Regulatory Notice 19-35
Summary
The 2020 Renewal Program begins on November 11, 2019, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms.
Firms should note the following key dates in the renewal process:
2019063228001 Jefferey W. Dyra CRD 6785909 AWC va (2019-1574986774077).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063228001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jefferey W. Dyra, Respondent Former Registered Representative CRD No. 6785909 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2017056047701 Ronald Ramone J. Knight CRD 5265446 AWC va (2019-1574986775068).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056047701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ronald "Ramone" J. Knight, Respondent Former Registered Representative CRD No. 5265446 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ronald J. Knight submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.