2017055476201 Kevin Scott Gunnip CRD 2701801 AWC va (2019-1571444385386).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055476201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kevin Scott Gunnip, Respondent Former General Securities Representative CRD No. 2701801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kevin Scott Gunnip submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
2016050022401 Wellington Shields & Co., LLC CRD 149021 AWC va (2019-1571444395890).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050022401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wellington Shields & Co., LLC, Respondent Member Firm BD No. 149021 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Wellington Shields & Co., LLC ("Wellington" 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.
2018058496901 Christopher Lowell Childers CRD 2175772 AWC va (2019-1571444395526).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058496901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher Lowell Childers, Respondent CRD No. 2175772 Investment Company Shares and Variable Contracts Representative Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Christopher Lowell Childers ("Childers" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
2018059510201 Thomas John Lykos, Jr. CRD 2017220 Complaint jm (2019-1571444395709).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Thomas John Lykos, Jr. CRD No. 2017220, Respondent. Disciplinary Proceeding No. 2018059510201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On July 20, 2018, while associated with FINRA member firm Sanders Morris Harris, LLC ("SMH"), Thomas John Lykos, Jr. took the Series 24 qualification examination (the "Exam") for the third time.
Regulatory Notice 19-31
Summary
This Notice responds to questions that FINRA has received from members about how they can comply with FINRA rules when communicating with customers—particularly when using websites, email and other electronic media—while ensuring fair and balanced presentations. Our goal is to facilitate simplified and more effective disclosure in communications with the public.
2016048921102 Halil Kozi CRD 1121714 Complaint va (2019-1571357982674).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Halil Kozi (CRD No. 1121714) Respondent. DISCIPLINARY PROCEEDING No. 2016048921102 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. From June 2013 through February 2015 (the "Relevant Period"), while associated with FINRA-member PHX Financial, Inc. ("PHX" or the "Firm"), Respondent Halil