2020067598801 Daniel William Stoakes, Jr. CRD 4637800 AWC lp (2022-1662682888646).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067598801 Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel William Stoakes, Jr. (Respondent) Former General Securities Representative CRD No. 4637800 Pursuant to FINRA Rule 9216, Respondent Daniel William Stoakes, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2022-017

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 6750 to provide that FINRA may publish or distribute aggregated transaction information and statistics on U.S. Treasury Securities on a more frequent basis.

Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit

The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) are driving a shift in terms of how Member Supervision’s National Cause and Financial Crimes Detection Program comes at its work and leverages intelligence and analytics to drive decision making and operations. On this episode, we hear how these changes will help FINRA better deliver on its mission of investor protection, market integrity.

2022074527201 Haleh Farshi CRD 4661462 AWC lp (2022-1662596488636).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074527201 TO: Department of Enforcement Financial Industry Regulatory Authority (FlNRA) RE: Haleh Farshi (Respondent) Former General Securities Representative CRD No. 4661462 Pursuant to FINRA Rule 9216, Respondent Haleh Farshi 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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