23-02285(2).pdf
Amended
2019062948102 James Brett Stuart CRD 3022149 Default Decision df (2024-1713486018528).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
JAMES BRETT STUART
(CRD No. 3022149),
Respondent.
Disciplinary Proceeding
No.
2023080625001 Andre Krause CRD 4060322 AWC gg (2024-1713486016245).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023080625001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Andre Krause (Respondent)
General Securities Representative
CRD No. 4060322
Pursuant to FINRA Rule 9216, Respondent Andre Krause submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022073944702 John Jude Butler CRD 2689182 AWC lp (2024-1713486016956).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073944702
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John Jude Butler (Respondent)
Former General Securities Representative
CRD No. 2689182
Pursuant to FINRA Rule 9216, Respondent John Jude Butler (Butler) submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Trade Reporting Notice 3/22/24
Summary
FINRA is providing advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. Under the updated guidance, members engaged in fractional share trading will be required to report fractional share quantities up to six digits after the decimal.
2022074921901 Todd Arnold Havemeister CRD 1942953 AWC lp (2024-1713486016363).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074921901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Todd Arnold Havemeister (Respondent)
Former General Securities Representative
CRD No. 1942953
Pursuant to FINRA Rule 9216, Respondent Todd Arnold Havemeister submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.