2019061062701 Gar Wood Securities, LLC CRD 138033 AWC geg (2022-1664065207433).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061062701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gar Wood Securities, LLC (Respondent) Member Firm CRD No. 138033 Pursuant to FINRA Rule 9216, Respondent Gar Wood Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060177801 Kovack Securities Inc. CRD 44848 AWC gg (2022-1663978808648).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060177801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kovack Securities Inc. (Respondent) Member Firm CRD No. 44848 Pursuant to FINRA Rule 9216, Respondent Kovack Securities Inc. (KSI) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Ensure Discrepancies are Reported or Balance is Paid

Firms must submit any amount owed on the Final Statement to FINRA by this day. Money can be deposited directly into the Renewal Account, or firms can rely on FINRA to transfer funds from the firm's Flex-Funding Account beginning Jan. 27.  In order to take advantage of this transfer, the complete amount due for renewals must be available in your firm’s Flex-Funding Account. See the Renewal Payment Options page for more information.

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