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
18-04058.pdf
NWAWD-New Code Award Template
Regulatory Notice 19-30
Summary
Effective June 1, 2020, members must report transactions in U.S. Treasury Securities executed to hedge a primary market transaction with an appropriate identifier. Members will have additional time to report such transactions—until the next business day during TRACE system hours. The rule text is available in the online FINRA Manual.
Questions regarding this Notice should be directed to:
2018057149701 Donald Edward Teboe CRD 4407610 AWC jm (2019-1571357987315).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057149701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donald Edward Teboe, Respondent General Securities Representative CRD No. 4407610 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Donald Edward Teboe submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
