2020068197401 Goldman Sachs & Co. LLC CRD 361 AWC gg (2023-1694823602356).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068197401
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.
Regulatory Notice 23-13
Summary
FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments will become effective August 23, 2023.
Questions concerning this Notice should be directed to:
2021069368801 CoreCap Investments, LLC CRD 37068 AWC gg (2023-1694737208009).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069368801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: CoreCap Investments, LLC (Respondent)
Member Firm
CRD No. 37068
Pursuant to FINRA Rule 9216, Respondent Corecap Investments, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2014040164801 3-20317 Sandeep Varma CRD 1926613 SEC Decision jlg (2023-1694737208188).pdf
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Release No. 98102 / August 10, 2023
Admin. Proc. File No. 3-20317
In the Matter of the Application of
SANDEEP VARMA
For Review of Action Taken by
FINRA
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION – REVIEW OF FINRA ACTION
Associated person of FINRA member firm filed application for review of FINRA’s
denial of his request to expunge information about a Letter of Acceptance, Waiver, and
Consent from FINRA’s Central Registration Depository.
