Omer Meisel

Omer Meisel leads FINRA’s National Cause and Financial Crimes Detections Program (NCFC), which includes the National Cause Program (NCP) and Complex Investigations and Intelligence (CII). Mr. Meisel leads teams that conduct investigations and examinations of firms and gather intelligence to detect financial crimes and inform FINRA and firms of emerging threats and risks to the financial industry.

2023078907901 Vivek Tangudu CRD 7429841 AWC lp (2023-1699057205058).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078907901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vivek Tangudu (Respondent) Former Associated Person CRD No. 7429841 Pursuant to FINRA Rule 9216, Respondent Vivek Tangudu submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068391501 Ravid Gold CRD 6314469 AWC (2023-1698970813872).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068391501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ravid Gold (Respondent) Former General Securities Principal CRD No. 6314469 Pursuant to FINRA Rule 9216, Respondent Ravid Gold submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066257302 John D. Sullivan CRD No. 2926996 Complaint gg (2023-1698970814172).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2020066257302 Department of Enforcement, Complainant, v. John D. Sullivan CRD No. 2926996, Respondent COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On nine occasions, Respondent John D. Sullivan failed to provide documents and information FINRA requested pursuant to FINRA Rule 8210. As a result, Sullivan violated FINRA Rules 8210 and 2010.
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