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Omer Meisel

Omer Meisel is Executive Vice President in FINRA’s Regulatory Operations, where he leads the Investigations Program. The Investigations Program focuses on identifying and responding to indications of potential misconduct, as well as executing thorough investigations to substantiate or negate allegations, develop well-supported referrals to Enforcement for potential regulatory action, and inform broader industry guidance.

2023078907901 Vivek Tangudu CRD 7429841 AWC lp (2023-1699057205058).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078907901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vivek Tangudu (Respondent) Former Associated Person CRD No. 7429841 Pursuant to FINRA Rule 9216, Respondent Vivek Tangudu submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068391501 Ravid Gold CRD 6314469 AWC (2023-1698970813872).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068391501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ravid Gold (Respondent) Former General Securities Principal CRD No. 6314469 Pursuant to FINRA Rule 9216, Respondent Ravid Gold submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066257302 John D. Sullivan CRD No. 2926996 Complaint gg (2023-1698970814172).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2020066257302 Department of Enforcement, Complainant, v. John D. Sullivan CRD No. 2926996, Respondent COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On nine occasions, Respondent John D. Sullivan failed to provide documents and information FINRA requested pursuant to FINRA Rule 8210. As a result, Sullivan violated FINRA Rules 8210 and 2010.
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