SR-FINRA-2022-033

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Codes of Arbitration Procedure to make various clarifying and technical changes to the Codes, including in response to recommendations in the report of independent counsel Lowenstein Sandler LLP.

2022073846901 John Nicholas Terzis CRD 1805020 AWC va (2023-1674433199517).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073846901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Nicholas Terzis (Respondent) Former General Securities Representative and General Securities Principal CRD No. 1805020 Pursuant to FINRA Rule 9216, Respondent John Nicholas Terzis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022074207801 Yuvraj Chauhan, CRD 6763782 AWC gg (2023-1674346799253).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074207801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Yuvraj Chauhan (Respondent) Former General Securities Representative CRD No. 6763782 Pursuant to FINRA Rule 9216, Respondent Yuvraj Chauhan 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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