2021072406801 Efrain Trujillo CRD 3106482 AWC gg (2022-1668385196830).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072406801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Efrain B. Trujillo (Respondent) Former General Securities Representative CRD No. 3106482 Pursuant to FINRA Rule 9216, Respondent Trujillo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018056490305 Terry Tzagarakis CRD 2796055 AWC gg (2022-1668385198414).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056490305 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Terry Tzagarakis (Respondent) Former General Securities Representative CRD No. 2796055 Pursuant to FINRA Rule 9216, Respondent Terry Tzagarakis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Election Notice - 10/24/2022

Executive Summary

The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members1 in the New York Region as of the close of business on Friday, October 21, 2022, are eligible to vote in these elections.

Ballots are due by Wednesday, November 23, 2022.

The newly elected SFAC member will take office on January 1, 2023.

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