Virtual Registration Systems Foundation Training
Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions and learn more about navigating the system tools relevant to your work.
Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.
Fast Account Switching Webinar
Join FINRA staff Tuesday, Aug. 15 for a 30-minute webinar about the new Fast Account Switching capability. During the webinar, FINRA will discuss the new functionality, demonstrate how it works in the live system, and answer questions submitted by attendees before and during the event. Space is limited; please register early.
22-02174(3).pdf
Motion to Vacate
eCaseView PDF/A, Clerk of the Circuit Court & Comptroller Palm Beach County
2022075872401 Lucy Yi Lin CRD 7449972 AWC lp (2023-1694305204554).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075872401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Lucy Yi Lin (Respondent)
Former Associated Person
CRD No. 7449972
Pursuant to FINRA Rule 9216, Respondent Lucy Yi Lin submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023077842701 Bryan Adem Joseph CRD 7505049 AWC gg (2023-1694218802124).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077842701
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan Adem Joseph (Respondent)
CRD No. 7505049
Pursuant to FINRA Rule 9216, Respondent Bryan Adem Joseph submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.