2019062623002 Peng Zhang CRD No. 6103092 AWC gg (2022-1665706815056).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019062623002
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Peng Zhang (Respondent)
Introducing Broker-Dealer Financial and Operations Principal; General Securities
Principal; General Securities Representative; Investment Banking Representative;
Investment Banking Principal; Operations Professional.
CRD No.
Carrie DiValerio
As Senior Vice President, Enterprise & Financial Solutions, Carrie DiValerio is responsible for leading FINRA’s Enterprise Strategy function. In this role, she oversees the development of enterprise and department strategy through implementation of the objectives and key results framework and management of FINRA’s human capital and initiative resources.
The Small Firm Conference Call
Join FINRA Senior leaders as they discuss SEC’s Regulation Best Interest and Form CRS.
2018059109401 BofA Securities, Inc. CRD 283942 AWC lp (2022-1665620410951).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018059109401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: BofA Securities, Inc. (Respondent) Member Firm
CRD No. 283942
Pursuant to FINRA Rule 9216, Respondent BofA Securities, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged
rule violations described below.