2021070378301 Dominic Carlo CRD 2731304 AWC gg (2023-1691367607705).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, \VAIVER, AND CONSENT
NO. 2021070378301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Dominic Carlo (Respondent)
General Securities Representative
CRD No. 2731304
Pursuant to FINRA Rule 9216, Respondent Dominic Carlo submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2021072184901 Timothy R. Bush CRD 3276071 AWC gg (2023-1691367607704).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072184901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Timothy R. Bush (Respondent)
Former General Securities Representative
CRD No. 3276071
Pursuant to FINRA Rule 9216, Respondent Timothy R. Bush submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
FINRA Expels Monmouth Capital Management
Firm Violated Reg BI, Excessively Traded, and Churned Numerous Customer Accounts, Including Those of Gold Star Families
WASHINGTON—FINRA announced today that it has expelled Monmouth Capital Management for churning and excessively trading customer accounts in violation of Regulation Best Interest (Reg BI), failing to supervise its representatives, and providing false and misleading disclosures to retail customers on its client relationship summary (Form CRS).
