2021070501001 Ann Marie Box CRD 1662151 AWC gg (2022-1657239619539).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070501001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ann Marie Box (Respondent) Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 1662151 Pursuant to FINRA Rule 9216, Respondent Ann Marie Box submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Compass Capital Corporation Comment On Regulatory Notice 22-08

Compass Capital Corporation appreciates the opportunity to comment on Regulatory Notice 22-08 published by the Financial Industry Regulatory Authority (FINRA). We support FINRAs investor protection mission and commend FINRA for reminding members of their current regulatory obligations. However, we are deeply concerned that FINRA is considering a series of radical and unprecedented regulations that could prevent or deter our clients from accessing a broad range of public securities deemed complex.

Timothy Shanahan Comment On Regulatory Notice 22-08

Compass Capital Corporation appreciates the opportunity to comment on Regulatory Notice 22-08 published by the Financial Industry Regulatory Authority (FINRA). We support FINRAs investor protection mission and commend FINRA for reminding members of their current regulatory obligations. However, we are deeply concerned that FINRA is considering a series of radical and unprecedented regulations that could prevent or deter our clients from accessing a broad range of public securities deemed complex.

2020068502001 Letisha L. Clarke-Ekwunife CRD 6621090 AWC gg (2022-1657153224805).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068502001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Letisha L. Clarke-Ekwunife (Respondent) Former General Securities Representative CRD No. 6621090 Pursuant to FINRA Rule 9216, Respondent Letisha L. Clarke-Ekwunife 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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