2019064955001 Yan Binder CRD 2932226 AWC gg (2022-1663460405384).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064955001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Yan Binder (Respondent)
General Securities Representative
CRD No. 2932226
Pursuant to FINRA Rule 9216, Respondent Yan Binder submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2021071965401 Daniel Pita CRD 6759879 Complaint lp (2022-1663460397144).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement,
Complainant,
v.
Daniel Pita,
CRD No. 6759879
Disciplinary Proceeding
No. 2021071965401
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. Respondent Daniel Pita (“Pita” or “Respondent”) failed to provide information and documents FINRA
requested pursuant to FINRA Rule 8210 in connection with an investigation of Pita’s outside business activities.
As a result, Pita violated FINRA Rules 8210 and 2010.
Election Notice – 8/22/2022
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.
A formal notice of the NAC election and ballot listing all certified candidates will be mailed to the executive representatives of all eligible small firm FINRA members on or about Monday, October 24, 2022.
Michael Moise Comment On Regulatory Notice 22-17
This proposal will blatantly continue to negatively impact small member firms that do not have neither the current infrastructure, capital or staffing levels to accommodate this significant of a change to their reporting structure. The continued demise in the number of FINRA-registered small firms, which benefits the largest firms with additional greater market share, provides the cover for the statistics used to consider this change.