Government Shutdown Information

2022076459304 Raymond William Clark CRD 2865619 AWC lp (2023-1694218802368).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076459304 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond William Clark (Respondent) Former General Securities Representative and Former General Securities Principal CRD No. 2865619 Pursuant to FINRA Rule 9216, Respondent Raymond William Clark submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022074096802 Vincent Pucciarelli CRD 2039846 AWC lp (2023-1694218802118).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074096802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent Pucciarelli (Respondent) General Securities Representative CRD No. 2039846 Pursuant to FINRA Rule 9216, Respondent Vincent Pucciarelli submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076500001 Michael Ramon DeLao CRD 2406749 AWC lp (2023-1694132409545).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076500001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Ramon DeLao (Respondent) General Securities Representative CRD No. 2406749 Pursuant to FINRA Rule 9216, Respondent Michael Ramon DeLao (DeLao) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

6470. Disclosure of Order Routing Information for OTC Equity Securities

(a) As detailed in this Rule, every member shall make publicly available for each calendar quarter a report on its routing of orders in OTC Equity Securities that are submitted during that quarter broken down by calendar month and keep such report posted on an internet website that is free and readily accessible to the public for a period of three years from the initial date of posting on the internet website.

6151. Disclosure of Order Routing Information for NMS Securities

Every member that is required to publish a report pursuant to Rule 606(a) of SEC Regulation NMS shall provide the report to FINRA, in the manner prescribed by FINRA, within the same time and in the same formats that such report is required to be made publicly available pursuant to Rule 606(a). FINRA will publish such reports on its public website.
Adopted by SR-FINRA-2022-031 eff. June 30, 2024. 
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