Election Notice – 9/11/23

Summary

The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule changes.

FINRA Announces Results of Governor Elections

FINRA announced today the results of its election of two Governors to its Board of Governors. The announcement came after the Annual Meeting of FINRA firms, where Scott A. Curtis, president of Raymond James’s Private Client Group, was elected as a Large-Firm Governor, and Wendy Lanton, Chief Compliance Officer and Founding Principal of Herald & Lantern Investments, Inc., was re-elected as a Small-Firm Governor.

2021072363201 Kevin J. Carroll, CRD No. 3124942 AWC gg (2023-1696551606939).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072363201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin J. Carroll (Respondent) Former General Securities Representative and General Securities Principal CRD No. 3124942 Pursuant to FINRA Rule 9216, Respondent Kevin J. Carroll submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075403801 Joseph Corey Quintons, CRD No. 7173106 AWC gg (2023-1696551606943).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075403801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Corey Quintons (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7173106 Pursuant to FINRA Rule 9216, Respondent Joseph Corey Quintons 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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