2017054157401 Lawrence James Rizer CRD 1168778 AWC sl (2019-1569716389146).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2017054157401
TO: Department of Enforcement
Financial Industry Regulatory Authority (“FINRA”)
RE: Lawrence James Rizer, Respondent
CRD No. 1168778
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. This AWC is submitted on the condition that, if accepted,
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SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 86751 / August 23, 2019 Admin. Proc. File No. 3-13678r In the Matter of the Application of JOHN M.E. SAAD For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Court of appeals remanded matter to the Commission after Commission sustained FINRA disciplinary action for Commission to determine in the first instance whether
2018059155702 Michael Joseph David Kane CRD 704604 AWC va (2019-1569629980854).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059155702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Joseph David Kane, Respondent General Securities Representative and General Securities Principal CRD No. 704604 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Joseph David Kane ("Kane" or "Respondent") submits this Letter of Acceptance, Waiver and Consent
2018059155703 John Darrick Atchison CRD 1284207 AWC va (2019-1569629994158).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059155703 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Darrick Atchison, Respondent General Securities Representative CRD No. 1284207 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Darrick Atchison ("Atchison" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
2018059155701 Robert Henry Forsyth CRD 1425529 AWC va (2019-1569629980923).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059155701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert Henry Forsyth, Respondent General Securities Representative CRD No. 1425529 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Henry Forsyth ("Forsyth" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
SR-FINRA-2019-007
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 7640B (Data Products Offered By NYSE) to (1) describe FINRA’s practices relating to the distribution of market data for over-the-counter (“OTC”) transactions in NMS stocks generated through the operation of the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”) by NYSE Market (DE), Inc.
SR-FINRA-2019-006
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Capital Acquisition Broker (“CAB”) Rules governing qualification, registration and continuing education of associated persons of CABs (CAB Rules 119-125) to reflect new consolidated FINRA qualification and registration rules and changes to its continuing education requirements which took effect on October 1, 2018 (collectively, the “Consolidated Rules”).