2023 Senior Investor Protection Conference: The Latest Trends, Scams and Schemes
In March, FINRA hosted the Senior Investor Protection Conference, a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and other vulnerable investors from exploitation. On this episode, we're taking an abridged look at one of the conference sessions on the various trends, scams and schemes currently impacting investors.
2021070656001 Randell J. Ogden CRD 2019815 AWC lp (2023-1684369209915).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070656001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FJNRA)
RE: Randell J. Ogden (Respondent)
General Securities Representative
CRD No. 2019815
Pursuant to FINRA Rule 9216, Respondent Randell J. Ogden submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2018057188801 Regal Securities, Inc. CRD 7297 AWC vr (2023-1684369209943).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018057188801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Regal Securities, Inc. (Respondent)
Member Firm
CRD No. 7297
Pursuant to FINRA Rule 9216, Respondent Regal Securities, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019061442501 RBC Capital Markets, LLC CRD 31194 AWC gg (2023-1684196387561).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061442501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: RBC Capital Markets, LLC (Respondent)
Member Firm
CRD No. 31194
Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2018060897301 Steven M. Netzel CRD 2863170 AWC gg (2023-1684196387563).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018060897301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Steven M. Netzel (Respondent)
Former General Securities Representative
CRD No. 2863170
Pursuant to FINRA Rule 9216, Respondent Steven M. Netzel submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2022073282001 The Carney Group, Incorporated CRD 16671 AWC lp (2023-1684113621826).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073282001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: The Carney Group, Incorporated (Respondent)
Member Firm
CRD No. 16671
Pursuant to FINRA Rule 9216, Respondent The Carney Group, Incorporated submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.