FINRA Is Open

2023079976201 Robert W. Clayton, Jr. CRD 2598586 AWC vr (2023-1702513197996).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079976201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert W. Clayton, Jr. (Respondent) General Securities Representative CRD No. 2598586 Pursuant to FINRA Rule 9216, Respondent Robert William Clayton submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021073087601 John Roddy Hughes CRD 1895797 AWC lp (2023-1702513197979).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073087601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Roddy Hughes (Respondent) Former General Securities Representative CRD No. 1895797 Pursuant to FINRA Rule 9216, Respondent John Roddy Hughes submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077891101 Fedelyne Cemoin CRD 6430066 AWC lp (2023-1702513197984).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077891101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Fedelyne Cemoin (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6430066 Pursuant to FINRA Rule 9216, Respondent Fedelyne Cemoin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Election Notice – 11/15/2023

Summary

The purpose of this Election Notice is to notify FINRA mid-size firms of a contested election for a mid-size firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots. The two open large firm NAC member seats are not contested; therefore, no election will be held for the large firm seats.

SR-FINRA-2023-016

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to permit projections of performance in institutional communications and specified communications to qualified purchasers.

2019061852801 Haywood Securities (USA) Inc. CRD 42072 AWC vr (2023-1702513197989).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061852801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Haywood Securities (USA) Inc. (Respondent) Member Firm CRD No. 42072 Pursuant to FINRA Rule 9216, Respondent Haywood Securities (USA) Inc. ("Haywood USA") 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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