| FINRA.org

2023078087101 Thomas Vernor CRD 1277533 AWC vr (2023-1689466810069).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078087101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Vernor (Respondent) Former General Securities Representative CRD No. 1277533 Pursuant to FINRA Rule 9216, Respondent Thomas Vernor submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071901901 Colin Healy CRD 4672687 AWC vr (2023-1689380403785).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071901901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Colin Healy (Respondent) Former General Securities Representative CRD No. 4672687 Pursuant to FINRA Rule 9216, Respondent Colin Healy submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059545201 3-20260 ROBERT JUAN ESCOBIO CRD 703813 SEC Opinion vw (2023-1689380403635).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 97701 / June 12, 2023 Admin. Proc. File No. 3-20260 In the Matter of the Application of ROBERT JUAN ESCOBIO For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDING FINRA found that person formerly associated with member firm failed to respond to its requests for information and documents for testimony at on-the-record interviews.

Richard Carlesco Comment On Regulatory Notice 23-11

Unintended Consequences I have been a long time critic of the net capital rule. The vast majority of FINRA Members (Not Subjects) are Introducing Broker Dealers. We spend thousands of dollars each year to maintain net capital and the audited financials that are required. If a introducing Broker Dealer goes under who is harmed? The client has their funds held in separate accounts and they get statements directly from those companies. The registered representatives can block transfer their accounts to a new firm. Who is harmed?

Subscribe to