FINRA Announces Results of Governor Elections

FINRA announced today the results of its election of two Governors to its Board of Governors. The announcement came after the Annual Meeting of FINRA firms, where Scott A. Curtis, president of Raymond James’s Private Client Group, was elected as a Large-Firm Governor, and Wendy Lanton, Chief Compliance Officer and Founding Principal of Herald & Lantern Investments, Inc., was re-elected as a Small-Firm Governor.

2021072363201 Kevin J. Carroll, CRD No. 3124942 AWC gg (2023-1696551606939).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072363201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin J. Carroll (Respondent) Former General Securities Representative and General Securities Principal CRD No. 3124942 Pursuant to FINRA Rule 9216, Respondent Kevin J. Carroll submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075403801 Joseph Corey Quintons, CRD No. 7173106 AWC gg (2023-1696551606943).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075403801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Corey Quintons (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7173106 Pursuant to FINRA Rule 9216, Respondent Joseph Corey Quintons submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076503701 Ethan Christopher Martin CRD 7376480 AWC lp (2023-1696551607503).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076503701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ethan Christopher Martin (Respondent) Former General Securities Representative CRD No. 7376480 Pursuant to FINRA Rule 9216, Respondent Ethan Christopher Martin (“Martin”) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020067046901 Anthony L. Cross CRD 3155726 AWC lp (2023-1696551606942).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067046901 TO: Department of Enforcement Financial Industry Regulatory Authority (FlNRA) RE: Anthony L. Cross (Respondent) General Seeuri tics Representative CRD No. 3155726 Pursuant to FINRA Ruic 9216, Respondent Anthony L. Cross submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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