2020068391502 Alterna Securities, Inc., fna Actinver Securities, Inc. CRD 41139 AWC vr (2023-1703981990690).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2020068391502 Department of Enforcement Financial Industry Regulatory Authority (FINRA) Altema Securities, Inc., formerly known as Actinver Securities, Inc. (Respondent) Member Firm CRD No.41139 Pursuant to FINRA Rule 9216, Respondent Altema Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022073326001 TIAA-CREF Individual & Institutional Services, LLC CRD 20472 AWC vr (2023-1703981990820).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20220733260-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TIAA-CREF Individual & Institutional Services, LLC (Respondent) Member Firm CRD No. 20472 Pursuant to FINRA Rule 9216, Respondent TIAA-CREF Individual & Institutional Services, LLC (TC Services) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Jennifer Keating

Jennifer Keating is FINRA’s Vice President of Total Rewards. In this capacity she designs, implements and manages FINRA’s compensation, recognition and benefits programs aimed at attracting and retaining skilled talent. 

Ms. Keating has over 30 years of experience in the human resources field, most of which have been spent with FINRA. She is a co-chair of FINRA’s Pension/401(k) Committee. 

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