2023079745801 Vincent Cagnina CRD 6411535 AWC vr (2024-1711066811146).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 202307974S801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent Cagnina (Respondent) General Securities Representative CRD No. 6411535 Pursuant to FINRA Rule 9216, Respondent Vincent Cagnina submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022073948401 Jeffrey W. Davidson CRD 4585780 AWC lp (2024-1710721209744).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073948401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey W. Davidson (Respondent) Fonner General Securities Representative CRD No. 4585780 Pursuant to FINRA Rule 9216, Respondent Jeffrey W. Davidson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Investors of Color: New Insights from FINRA’s Investor Education Foundation

On this episode, we dig into a new report from the FINRA Investor Education Foundation, Investors of Color in the United States, that highlights interesting trends related to the pace at which Black/African American, Hispanic/Latino and Asian American/Pacific Islander investors are entering the market, their views on risk, where they're receiving information and more.
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