SR-FINRA-2019-027

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 12100, 12202, 12214, 12309, 12400, 12601, 12702, 12801, and 12900 of the Code of Arbitration Procedure for Customer Disputes (“Customer Code” or “Code”) to expand a customer’s options to withdraw an arbitration claim if a member or an associated person becomes inactive before a claim is filed or during a pending arbitration.

2017053549901 Michael Royce Minghenelli CRD 6067409 Default Decision va (2019-1575591573938).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL ROYCE MINGHENELLI (CRD No. 6067409), Respondent. Disciplinary Proceeding No. 2017053549901 Hearing Officer-RES DEFAULT DECISION November 5, 2019 For conversion of funds and failure to provide documents and information despite six FINRA Rule 8210 requests, Respondent is barred from associating

SR-FINRA-2019-026

Rule Filing Status:  Filed for Immediate Effectiveness

 

Rule change to extend, to March 25, 2021, the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15, 2016.
 

SR-FINRA-2019-024

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).

 

2017053017201 Christopher Kozak CRD 5530806 AWC jm (2019-1575591570344).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053017201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Kozak, Respondent Former General Securities Representative CRD No. 5530806 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Christopher Kozak, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
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