2023079976101 Kevin Zappia CRD 1360824 AWC lp (2023-1700871590340).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079976101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kevin Zappia (Respondent)
General Securities Representative
CRD No. 1360824
Pursuant to FINRA Rule 9216, Respondent Kevin Zappia submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022076303801 Christian Thomas Holmes CRD 6810142 AWC vr (2023-1700871595544).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076303801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christian Thomas Holmes (Respondent)
Former General Securities Representative
CRD No. 6810142
Pursuant to FINRA Rule 9216, Respondent Christian Thomas Holmes submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
19-02088(2).pdf
Order to Confirm
Brad Ahrens
As Senior Vice President of Advanced Analytics, Brad Ahrens oversees FINRA’s analytics strategy and implementations—including machine learning, artificial intelligence and data visualization—to further enable investor protection and safeguard the financial markets. He also chairs FINRA’s Advanced Analytics Leadership Team, which is charged with identifying and deploying analytics opportunities that will maximize the benefits to investors, member firms and FINRA.