FINRA Is Open

2019061213701 Sanctuary Securities, Inc. CRD 205 AWC lp (2022-1664814468793).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061213701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sanctuary Securities, Inc., formerly known as David A. Noyes & Company (Respondent) Member Firm CRD No. 205 Pursuant to FINRA Rule 9216, Respondent Sanctuary 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.

Election Notice – 9/6/2022

Summary

The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and rule changes.

2019063639201 Michael G. Ferrera Jr. CRD 4865324 AWC lp (2022-1664670001160).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063639201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael G. Ferrera Jr. (Respondent) Former General Securities Representative Former General Securities Principal Former Investment Company and Variable Contracts Products Representative CRD No. 4865324 Pursuant to FINRA Rule 9216, Respondent Michael G. Ferrera Jr. 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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