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2018057892701 StoneX Financial Inc. CRD 45993 AWC lp (2024-1725582008855).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018057892701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: StoneX Financial Inc., formerly known as INTL FCStone Financial Inc. (Respondent)
Member Firm
CRD No. 45993
Pursuant to FINRA Rule 9216, Respondent StoneX Financial Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2024081398801 Jack S. Falzone Jr. CRD 7182129 AWC lp (2024-1725582009620).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081398801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jack S. Falzone Jr. (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 7182129
Pursuant to FINRA Rule 9216, Respondent Jack S. Falzone Jr. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2024081647102 Charles Joseph Riccomini CRD 7247048 AWC lp (2024-1725582010088).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081647102
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Charles Joseph Riccomini (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 7427048
Pursuant to FINRA Rule 9216, Respondent Charles Joseph Riccomini submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.