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24-02306.pdf

FINOP Webinar: Net Capital – Common Pitfalls for Small Firms

Join FINRA's Office of Financial and Operational Risk Policy (OFORP) for this 30-minute session that focuses on common net capital challenges faced by small firms. FINRA staff experts share their expertise on maintaining net capital compliance, with special attention to US GAAP revenue recognition and accrual practices that frequently create financial compliance issues. The presentation will conclude with a Q&A session addressing participant questions.

25-00187.pdf

25-00464.pdf

22-00873.pdf

13-03275(4).pdf

Order to Confirm

Investment Strategies

The Basics of Direct Indexing

2023077059101 Andrew Mack CRD 5932062 AWC lp.pdf

From May 2021 to July 2023, Mack exercised discretion without written authorization in connection with approximately 1,700 trades in 84 customer accounts in violation of FINRA Rules 3260(b) and 2010. For that violation, Mack is suspended for three months in all capacities and fined $10,000.

24-02593(2).pdf

Petition to Vacate

2023079833901 Chad M. Rogers CRD 4029698 AWC lp.pdf

Between August 2022 and June 2023, while associated with IFP. Rogers impersonated 14 customers during 22 phone calls to his prior firm seeking 10 have his customers' accounts transferred to IFP or transfer funds to the customers' bank accounts. By virtue of this conduct. Rogers violated FINRA Rule 2010 and is suspended in all capacities for 45 days and fined $5,000. conducL Rogers violated FINRA Rule 2010 and is suspended in all capacities for 45 days and fined $5,000.

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