2020068113401 Andrew J. Grant CRD 2709882 AWC vr (2023-1682727602228).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068113401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew J. Grant (Respondent) General Securities Representative CRD No. 2709882 Pursuant to FINRA Rule 9216, Respondent Andrew J. Grant submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060034001 Olivier Robert Gillier CRD 3222378 AWC va (2023-1682727602193).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060034001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Olivier Robert Gillier (Respondent) Former General Securities Representative CRD No. 3222378 Pursuant to FINRA Rule 9216, Respondent Olivier Robert Gillier submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2023-006

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision).

Special Notice - 3/29/23

Summary

FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose of this Notice is to encourage employees of member firms and other interested parties with diverse skills, backgrounds, perspectives and experiences to become involved in these committees so they can provide innovative feedback and support FINRA’s mission.

2022075269901 Sukthavy Sisamouthp CRD 6429670 AWC va (2023-1682641209940).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075269901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sukthavy Sisamouthp (Respondent) Former Associated Person CRD No. 6429670 Pursuant to FINRA Rule 9216, Respondent Sukthavy Sisamouthp submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069375301 Roman Meyerhans CRD 4587943 AWC va (2023-1682641209753).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069375301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roman Meyerhans (Respondent) General Securities Representative CRD No. 4587943 Pursuant to FINRA Rule 9216, Respondent Roman Meyerhans 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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