FINRA Is Open

2020069039301 William Donovan Ard CRD 1133673 AWC vr (2023-1698020407392).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020069039301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Donovan Ard (Respondent) Former General Securities Representative CRD No. 1133673 Pursuant to FINRA Rule 9216, Respondent William Donovan Ard 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 - 9/25/2023

Summary

The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot.

2019061945001 Goldman Sachs & Co. LLC. CRD 361 AWC lp (2023-1698020407374).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061945001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066757801 Pierre Hilario CRD 4386481 AWC lp (2023-1697934015881).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066757801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pierre M. Hilario (Respondent) Former General Securities Representative CRD No. 4386481 Pursuant to FINRA Rule 9216, Respondent Pierre M. Hilario 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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