Regulatory Notice 22-20

Summary

The NAC has revised FINRA’s Sanction Guidelines, which guide FINRA adjudicators in developing remedial sanctions for violations of the securities rules. These revisions were based on a review to ensure that the guidelines accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings. The revisions tailor sanctions to differentiate between types of respondents and modify the Sanction Guidelines in the following ways:

2019063382601 Christopher Stephen Perrillo CRD 4867894 AWC gg (2022-1664410816357).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063382601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Stephen Perrillo (Respondent) Former General Securities Representative CRD No. 4867894 Pursuant to FINRA Rule 9216, Respondent Christopher Stephen Perrillo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071880201 Ossama Mohamed Helal CRD No. 5282088 AWC gg (2022-1664410816121).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20210718802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ossama Mohamed Helal (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5282088 Pursuant to FINRA Rule 9216, Respondent Ossama Mohamed Helal submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068358801 Simon Dude Granner CRD No. 5819063 AWC gg (2022-1664410816438).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068358801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Simon Dude Granner (Respondent) Former General Securities Representative CRD No. 5819063 Pursuant to FINRA Rule 9216, Respondent Simon Dude Granner submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061158901 Lampert Capital Markets Inc. CRD 103725 AWC lp (2022-1664410816327).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061158901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lampert Capital Markets Inc. (Respondent) Member Firm CRD No. 103725 Pursuant to FINRA Rule 9216, Respondent Lampert Capital 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.
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