2019063686204 Rande Aaronson CRD 1758915 AWC vr (2023-1688084413111).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063686204 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rande Aaronson (Respondent) Former General Securities Principal CRD No. 1758915 Pursuant to FINRA Rule 9216, Respondent Rande Aaronson 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 - 05/31/2023

Summary

The annual meeting of FINRA firms will take place on or about Wednesday, September 6, 2023, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 7, 2023. 

2022073802901 Kevin Cory CRD 1716966 AWC vr (2023-1687738920347).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073802901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Cory (Respondent) Former General Securities Representative CRD No. 1716966 Pursuant to FINRA Rule 9216, Respondent Kevin Cory 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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