2019064126802 Clearview Trading Advisors, Inc. CRD 142873 Gregg H. Ettin CRD 1604260 AWC geg (2022-1670804406029).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064126802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clearview Trading Advisors, Inc. (Respondent) Member Firm CRD No. 142873 Gregg H. Ettin (Respondent) Compliance Officer and General Securities Principal CRD No. 1604260 Pursuant to FINRA Rule 9216, Respondents Clearview Trading Advisors, Inc. and Gregg H.

2021070463601 Michael Joseph Lancaster CRD 1353552 AWC gg (2022-1670804398565).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070463601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Joseph Lancaster (Respondent) Former General Securities Representative CRD No. 1353552 Pursuant to FINRA Rule 9216, Respondent Michael Joseph Lancaster submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062623003 Hinman Au CRD 2243462 AWC lp (2022-1670804406257).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062623003 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hinman Au (Respondent) Introducing Broker-Dealer Financial and Operations Principal; General Securities Principal; General Securities Representative; Registered Options Principal; Compliance Officer; Investment Banking Representative; Operations Professional CRD No.

2021071443701 James Walter Kondrasuk CRD 2469994 AWC lp (2022-1670804402132).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071443701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Walter Kondrasuk (Respondent) Former General Securities Representative CRD No. 2469994 Pursuant to FINRA Rule 9216, Respondent James Walter Kondrasuk submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066903601 Douglas Fulton Kaiser CRD 1674570 AWC lp (2022-1670804406353).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066903601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas Fulton Kaiser (Respondent) General Securities Principal CRD No. 1674570 Pursuant to FINRA Rule 9216, Respondent Douglas Fulton Kaiser 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 22-24

Summary

FINRA has amended Rule 11880 (Settlement of Syndicate Accounts) to revise the syndicate account settlement timeframe for offerings of corporate debt securities. The amendments to Rule 11880 establish a two-stage syndicate account settlement process whereby the syndicate manager is required to remit to each syndicate member at least 70 percent of the gross amount due to such syndicate member within 30 days following the syndicate settlement date, with any final balance due remitted within 90 days following the syndicate settlement date.

2022075757801 Allen Hershberg CRD 1112312 AWC lp (2022-1670804398923).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075757801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mr. Allen Hershberg (Respondent) Former General Securities Representative CRD No. 1112312 Pursuant to FINRA Rule 9216, Respondent Allen Hershberg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to