2024081055001 Brandon Larsen CRD 6192239 AWC vr (2025-1757722794470).pdf
From June 2019 to October 2023, Larsen exercised discretion without written authority in 14 brokerage accounts by effecting 165 trades. As a result, Larsen violated FINRA Rules 3260(b) and 2010 and is suspended for one month and fined $5,000...
24-00971.pdf
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Ensure Discrepancies are Reported or Balance is Paid
Firms must submit any amount owed on the Final Statement to FINRA by this day. Money can be deposited directly into the Renewal Account, or firms can rely on FINRA to transfer funds from the firm's Flex-Funding Account beginning Jan. 23. To take advantage of this transfer, the complete amount due for renewals must be available in your firm’s Flex-Funding Account. See the Renewal Payment Options page for more information.
Retrieve and Schedule Payment for the Final Statement in E-Bill
Final Statements are available in E-Bill on Jan. 2.
Preliminary Statement reports are replaced with Final Statement reports in CRD/IARD.
Many firms find it convenient to schedule any required payment while logged in to E-Bill to retrieve the statement. If additional payment is not required, the Final Statement will reflect "Paid in Full." Any overpayment FINRA received from a firm is now available in the firm’s Flex-Funding Account.
Submit Filings and Payments Before 6 p.m. ET
The CRD/IARD system shuts down for the year at 6 p.m. on Dec. 26. Firms should ensure that they perform the following activities before the shutdown occurs: