2020068391502 Alterna Securities, Inc., fna Actinver Securities, Inc. CRD 41139 AWC vr (2023-1703981990690).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO.2020068391502
Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
Altema Securities, Inc., formerly known as Actinver Securities, Inc. (Respondent)
Member Firm
CRD No.41139
Pursuant to FINRA Rule 9216, Respondent Altema Securities, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022073326001 TIAA-CREF Individual & Institutional Services, LLC CRD 20472 AWC vr (2023-1703981990820).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 20220733260-01
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: TIAA-CREF Individual & Institutional Services, LLC (Respondent)
Member Firm
CRD No. 20472
Pursuant to FINRA Rule 9216, Respondent TIAA-CREF Individual & Institutional Services,
LLC (TC Services) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the
purpose of proposing a settlement of the alleged rule violations described below.
Jennifer Keating
Jennifer Keating is FINRA’s Vice President of Total Rewards. In this capacity she designs, implements and manages FINRA’s compensation, recognition and benefits programs aimed at attracting and retaining skilled talent.
Ms. Keating has over 30 years of experience in the human resources field, most of which have been spent with FINRA. She is a co-chair of FINRA’s Pension/401(k) Committee.
2022077257801 Malay Kumar CRD 2482909 AWC gg (2023-1703981990698).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022077257801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Malay Kumar (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 2482909
Pursuant to FINRA Rule 9216, Respondent Malay Kumar submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.