| FINRA.org Skip to main content

2019060647601 Reid & Rudiger LLC CRD 47263_Edward J. Rudiger, Jr. CRD 2118724_Clifford R. Reid CRD 1905920_Kelli A. Mezzatesta CRD 4701170_Marc Harrison CRD 1605568 Order Accepting Offer of Settlement ks.pdf

It has been determined that the Offer be accepted and that findings be made as follows: For nearly six years, Reid & Rudiger LLC churned and/or excessively traded 20 customers' accounts, causing significant harm to those customers while generating millions in revenue for the firm. The two representatives whose trading resulted in this egregious customer harm have their names on the firm's door-Respondents Edward J. Rudiger Jr. and Clifford R. Reid. They were supervised by the firm's majority owner, Respondent Marc Harrison, and by Respondent Kelli A.

SR-FINRA-2026-013

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to except from the requirements of the rule accounts pursuant to Section 530A of the Internal Revenue Code.