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.

2022075269901 Sukthavy Sisamouthp CRD 6429670 AWC va (2023-1682641209940).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075269901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sukthavy Sisamouthp (Respondent) Former Associated Person CRD No. 6429670 Pursuant to FINRA Rule 9216, Respondent Sukthavy Sisamouthp submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069375301 Roman Meyerhans CRD 4587943 AWC va (2023-1682641209753).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069375301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roman Meyerhans (Respondent) General Securities Representative CRD No. 4587943 Pursuant to FINRA Rule 9216, Respondent Roman Meyerhans 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 23-06

Summary

To bring attention to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), FINRA issued Regulatory Notice 22-21, which alerted member firms about how bad actors effect fraudulent transfers of customer assets using ACATS (referred to as ACATS fraud). That Notice listed several existing regulatory obligations that may apply in connection with ACATS fraud and provided contact information for reporting the fraud.

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