FINRA Is Open

2019063024201 Citigroup Global Markets Inc. CRD 7059 AWC lp (2022-1671322798409).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063024201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Finn CRDNo. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020067014001 Edward L. Turley CRD 1872294 AWC lp (2022-1671322802494).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2020067014001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Edward L. Turley (Respondent) Former General Securities Representative CRD No. 1872294 Pursuant to FINRA Rule 9216, Respondent Edward L. Turley submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2022-031

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities).

2022074303701 Lee Ray Diedrich CRD 2636095 AWC va (2022-1671236414247).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074303701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lee Ray Diedrich (Respondent) Former General Securities Representative CRD No. 2636095 Pursuant to FINRA Rule 9216, Respondent Lee Ray Diedrich (Diedrich) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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