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Top finra.org News

2021071543601 DriveWealth, LLC CRD 165429 AWC gg.pdf

2021071543601 DriveWealth, LLC CRD 165429 AWC gg.pdf

2021071543601 DriveWealth, LLC CRD 165429 AWC gg.pdf Anonymous (not verified) Fri, 06/06/2025 - 16:20 Case ID 2021071543601 Document Number b1e46e59 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Fri, 06/06/2025 - 12:00 Related Content Off Attachment 2021071543601 DriveWealth, LLC CRD 165429 AWC gg.pdf Read Article

2023077775501 SG Americas Securities, LLC CRD 128351 AWC lp.pdf

United States · United States

2023077775501 SG Americas Securities, LLC CRD 128351 AWC lp.pdf

From July 2017 through August 2023, SGAS inaccurately reported 166,421 transactions to FINRA’s Trade Reporting and Compliance Engine (TRACE), in violation of FINRA Rules 6730 and 2010. In addition, from July 2017 through January 2025, the firm failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with the firm’s TRACE reporting obligations, in violatio…Read Article

Waterview Securities, Inc. Comment On Regulatory Notice 25-06

Texas, United States · Texas

Waterview Securities, Inc. Comment On Regulatory Notice 25-06

Waterview Securities, Inc. Comment On Regulatory Notice 25-06 fnrw-backend Thu, 06/05/2025 - 16:13 Larry Starks TX US larry.starks@waterview-ib.com Waterview Securities, Inc. A.1 Should CABs be permitted to engage in a broader range of M&A and private placement activities than currently specified in the CAB rules? Answer: Probably not.A.2 CABs may not act as an agent for secondary transactions involving unregistered securities, other than in con…Read Article

FINRA Proposes Raising Gift Limit

FINRA Proposes Raising Gift Limit K34060 Thu, 06/05/2025 - 15:16 June 4, 2025FeaturesFINRA Proposes Raising Gift Limit FINRA has filed with the SEC a proposal to increase the limit on gifts its members can give to employees of an institutional customer, vendor, or counterparty. The proposed amendments to FINRA Rule 3220 (the Gifts Rule) would raise the gift limit to $250 from $100 to account for inflation and continue to permit the exchange of b…SEC · United States Read Article

2022074999801 Network 1 Financial Securities, Inc. CRD 13577 AWC vr.pdf

Between October 2021 and July 2022, Network 1 failed to reasonably supervise a sales representative's activity relating to a private placement in violation of FINRA Rules 3110 and 2010. In April 2022, Network 1 distributed offering materials for the private placement that contained erroneous and/or misleading information in violation of FINRA Rules 2210 and 2010. For these violations, Network 1 is censured, fined $50,000, and agrees to remediate…United States · United States Read Article

2022075505901 Silver Oak Securities, Inc. CRD 46947 AWC lp.pdf

From at least March 2021 to September 2022, Silver Oak's supervisory system, including written supervisory procedures, was not reasonably designed to supervise the use, dissemination, and preservation of consolidated reports. Between March 1, 2021, and March 31, 2022, the firm failed to timely review over 100 consolidated reports distributed by the firm's registered representatives during customer meetings. Additionally, Silver Oak's WSPs failed…Read Article

2022073302001 Christopher Robert Arnold, CRD 5908774 Disciplinary Action.pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 103027 / May 13, 2025 Admin. Proc. File No. 3-21818 In the Matter of the Application of CHRISTOPHER ROBERT ARNOLD For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF FINRA ACTION Registered securities association barred individual in an expedited proceeding for failing to respond to requests for …Washington DC · Washington Read Article

2022076589301 Kevin John Herne CRD 5320629 OHO Decision ks.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN JOHN HERNE (CRD No. 5320629), Respondent. Disciplinary Proceeding No. 2022076589301 Hearing Officer–LOM DEFAULT DECISION May 22, 2025 Respondent willfully omitted material information from his Form U4 that he was required to disclose. For this misconduct, he is suspended from associating with any FINRA member firm in any capacity f…United States · United States Read Article

2024083477201 Damon Perez CRD 5824101 AWC lp.pdf

2024083477201 Damon Perez CRD 5824101 AWC lp.pdf Anonymous (not verified) Fri, 05/30/2025 - 15:40 Case ID 2024083477201 Document Number 2e2099a8 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Damon Perez Action Date Fri, 05/30/2025 - 12:00 Related Content Off Attachment 2024083477201 Damon Perez CRD 5824101 AWC lp.pdf Individual CRD 5824101 Read Article

2024081609001 Jody Vander Weide CRD 2571083 AWC vr.pdf

2024081609001 Jody Vander Weide CRD 2571083 AWC vr.pdf Anonymous (not verified) Fri, 05/30/2025 - 14:40 Case ID 2024081609001 Document Number 2522fed3 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Jody Vander Weide Action Date Fri, 05/30/2025 - 12:00 Related Content Off Attachment 2024081609001 Jody Vander Weide CRD 2571083 AWC vr.pdf Individual CRD 2571083 Read Article

2024080209001 General Securities Corp. CRD 15062 AWC vr.pdf

From June 30, 2020, to August 6, 2024, General Securities failed to disclose its own and its registered representatives’ disciplinary history in the firm’s customer relationship summary (Form CRS) and failed to comply with the instructions for Form CRS. By filing and delivering to customers a Form CRS that omitted required information, General Securities willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act …United States · United States Read Article

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