2021072636102 John M. Selleh CRD 1292048 AWC lp (2022-1671063597659).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072636102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John M. Selleh (Respondent) Former General Securities Principal CRD No. 1292048 Pursuant to FINRA Rule 9216, Respondent John M. Selleh submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Information Notice 11/18/22

Summary

FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday when the exchanges or banks are closed in 2023. 

2019064126802 Clearview Trading Advisors, Inc. CRD 142873 Gregg H. Ettin CRD 1604260 AWC geg (2022-1670804406029).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064126802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clearview Trading Advisors, Inc. (Respondent) Member Firm CRD No. 142873 Gregg H. Ettin (Respondent) Compliance Officer and General Securities Principal CRD No. 1604260 Pursuant to FINRA Rule 9216, Respondents Clearview Trading Advisors, Inc. and Gregg H.

2021070463601 Michael Joseph Lancaster CRD 1353552 AWC gg (2022-1670804398565).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070463601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Joseph Lancaster (Respondent) Former General Securities Representative CRD No. 1353552 Pursuant to FINRA Rule 9216, Respondent Michael Joseph Lancaster submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062623003 Hinman Au CRD 2243462 AWC lp (2022-1670804406257).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062623003 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hinman Au (Respondent) Introducing Broker-Dealer Financial and Operations Principal; General Securities Principal; General Securities Representative; Registered Options Principal; Compliance Officer; Investment Banking Representative; Operations Professional CRD No.

2021071443701 James Walter Kondrasuk CRD 2469994 AWC lp (2022-1670804402132).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071443701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Walter Kondrasuk (Respondent) Former General Securities Representative CRD No. 2469994 Pursuant to FINRA Rule 9216, Respondent James Walter Kondrasuk 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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