2017055886402 Cantone Research CRD 26314 Anthony Cantone CRD 1066139 Raymond DeRobbio CRD 1092310 Extended Hearing Panel Decision df2.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CANTONE RESEARCH INC. (CRD No. 26314), ANTHONY J. CANTONE (CRD No. 1066139), and RAYMOND J. DEROBBIO (CRD No. 1092310), Respondents. Disciplinary Proceeding No. 2017055886402 Hearing Officer–LOM EXTENDED HEARING PANEL DECISION January 25, 2024 Respondents sold municipal bonds without a reasonable basis to believe them suitable for any investor because they conducted inadequate due diligence, in willful violation of MSRB Rule G-19.

2017055886402 Cantone Research CRD 26314 Anthony Cantone CRD 1066139 Raymond DeRobbio CRD 1092310 Extended Hearing Panel Decision df.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CANTONE RESEARCH INC. (CRD No. 26314), ANTHONY J. CANTONE (CRD No. 1066139), and RAYMOND J. DEROBBIO (CRD No. 1092310), Respondents. Disciplinary Proceeding No. 2017055886402 Hearing Officer–LOM EXTENDED HEARING PANEL DECISION January 25, 2024 Respondents sold municipal bonds without a reasonable basis to believe them suitable for any investor because they conducted inadequate due diligence, in willful violation of MSRB Rule G-19.

2022076149301 Michael Ryan Petruska CRD 4907900 Complaint lp (2024-1711153196458).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Ryan Petruska CRD No. 4907900, Respondent. Disciplinary Proceeding No. 2022076149301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Michael Ryan Petruska, while registered with FINRA through an association with member firm Equitable Advisors, LLC (CRD No. 6627), willfully failed to amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose that he been charged with a felony.

2023077755201 Lori Fleischhacker Copeland CRD 6437019 AWC vr (2024-1711153196459).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077755201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lori Fleischhacker Copeland (Respondent) Former General Securities Representative CRD No. 6437019 Pursuant to FINRA Rule 9216, Respondent Lori Fleischhacker Copeland submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 24-04

Summary

FINRA has adopted amendments to conform its rules to the Securities and Exchange Commission’s (SEC) amendments to Rule 15c6-1 and adoption of Rule 15c6-2 under the Securities Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) to one business day after the trade date (T+1). The amendments revise provisions in the following FINRA rules:

Special Notice – 2/27/24

Summary

FINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.

Regulatory Notice 24-05

Summary

FINRA is adopting new Rule 6151 (Disclosure of Order Routing Information for NMS Securities) to require members to submit to FINRA for centralized publication the order routing reports required under the Securities and Exchange Commission’s (SEC) Rule 606(a) (Rule 606(a) Reports). These amendments will take effect on June 30, 2024. Therefore, members will be required to submit their Q2 2024 Rule 606(a) Reports to FINRA no later than July 31, 2024.

The text of the new rule is available in the online FINRA manual.

Subscribe to