19-01829(3).pdf
Order to confirm
2020066841402 Kyle Luebeck CRD 5931863 AWC lp (2022-1664497210627).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066841402
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kyle Luebeck (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 5931863
Pursuant to FINRA Rule 9216, Respondent Kyle Luebeck submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022074899601 Doug Marshall McKelvey CRD 4502849 AWC va (2022-1664497210412).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074899601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Doug Marshall McKelvey (Respondent)
General Securities Representative (GS)
CRD No. 4502849
Pursuant to FINRA Rule 9216, Respondent Doug Marshall McKelvey 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 22-20
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.