2022073830201 Cathie Ann Joughin CRD 1044884 AWC gg (2022-1672273209857).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073830201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cathie Ann Joughin (Respondent) Former General Securities Representative CRD No. 1044884 Pursuant to FINRA Rule 9216, Respondent Cathie Ann Joughin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 22-26

Summary

FINRA requests comment on a proposal to provide additional transparency into delayed Treasury spot trades in corporate debt securities—i.e., corporate bond trades where the dollar price of the trade is based on a spread to a benchmark U.S. Treasury security that was agreed upon at an earlier time on the same day.

2021070477901 Barry Lee Garapedian CRD 1039257 AWC lp (2022-1672273209798).pdf

FiNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070477901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barry Lee Garapedian (Respondent) Former General Securities Representative CRD No. 1039257 Pursuant to FINRA Rule 9216, Respondent Barry Lee Garapedian submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to