FINRA Is Open

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.

2020066233401 Credit Suisse Securities (USA) LLC CRD 816 AWC lp (2022-1670717997233).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066233401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent or Credit Suisse) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse 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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