Report From FINRA Board of Governors Meeting – March 2024
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
2021071722201 Osaic Wealth, Inc. CRD 23131 and Securities America, Inc. CRD 10205 AWC gg (2024-1713054016278).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071722201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Osaic Wealth, Inc., formerly known as Royal Alliance Associates, Inc. (Respondent)
Member Firm
CRD No. 23131
Securities America, Inc (Respondent)
Member Firm
CRD No. 10205
Pursuant to FINRA Rule 9216, Respondents Osaic Wealth and Securities America submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2021072193101 Valence M. Williams CRD 1389729 AWC vr (2024-1713054016430).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072193101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Valence M. Williams (Respondent)
Former General Securities Representative
CRD No. 1389729
Pursuant to FINRA Rule 9216, Respondent Valence M. Williams submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.