2019063881901 Baker Tilly Capital, LLC CRD No. 115333 AWC gg (2023-1682727602149).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063881901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Baker Tilly Capital, LLC (Respondent)
Member Firm
CRD No. 115333
Pursuant to FINRA Rule 9216, Respondent Baker Tilly Capital, LLC, submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020068113401 Andrew J. Grant CRD 2709882 AWC vr (2023-1682727602228).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068113401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Andrew J. Grant (Respondent)
General Securities Representative
CRD No. 2709882
Pursuant to FINRA Rule 9216, Respondent Andrew J. Grant submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2018060034001 Olivier Robert Gillier CRD 3222378 AWC va (2023-1682727602193).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018060034001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Olivier Robert Gillier (Respondent)
Former General Securities Representative
CRD No. 3222378
Pursuant to FINRA Rule 9216, Respondent Olivier Robert Gillier submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
SR-FINRA-2023-006
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision).
Special Notice - 3/29/23
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose of this Notice is to encourage employees of member firms and other interested parties with diverse skills, backgrounds, perspectives and experiences to become involved in these committees so they can provide innovative feedback and support FINRA’s mission.