FINRA Is Open

2019060646801 Laidlaw & Company (UK) Ltd., CRD 119037 AWC gg (2023-1679357997637).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060646801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Laidlaw & Company (UK) Ltd. (Respondent) Member Firm CRD No. 119037 Pursuant to FINRA Rule 9216, Respondent Laidlaw & Company (UK) Ltd. (Laidlaw) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Deborah Young Comment On Special Notice – 10/21/22

The RegTech Association is a non profit, global industry association representing 160 organisations across the RegTech spectrum including banks, financial institutions, intermediary service providers, large tech and 120 RegTech companies. We work closely with regulators like FINRA to surface the discussions, promote the benefits of initiatives such as the Machine Readable Rulebook that lead to ultimately safeguarding our communities, organisations and financial systems.

2022074906201 Blake Eskew CRD 6959564 AWC lp (2023-1679185203025).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074906201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Blake Eskew (Respondent) Former General Securities Representative (GSR) CRD No. 6959564 Pursuant to FINRA Rule 9216, Respondent Blake Eskew submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076230701 Paul J. Trone CRD 7097895 AWC lp (2023-1679185208717).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076230701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul J. Trone (Respondent) Former General Securities Representative CRD No. 7097895 Pursuant to FINRA Rule 9216, Respondent Paul J. Trone 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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