2023077669210 Damian M Baird CRD 3097243 Default Decision df (2024-1711153196451).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
DAMIAN M. BAIRD
(CRD No. 3097243),
Respondent.
Disciplinary Proceeding
No. 2023077669201
Hearing Officer–DRS
AMENDED DEFAULT DECISION1
January 31, 2024
Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents and failing to appear for on-the-record testimony FINRA requested in connection with two investigations.
Appearances
For the Complainant: John M. Fallon, Esq., Elissa M. Kestin, Esq., and Jennifer L.
2018060897302 Darren M Kubiak CRD 1239086 Default Decision df (2024-1711153196456).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
Darren M. Kubiak
(CRD No. 1239086),
Respondent.
Disciplinary Proceeding
No.
2023079745801 Vincent Cagnina CRD 6411535 AWC vr (2024-1711066811146).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 202307974S801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Vincent Cagnina (Respondent)
General Securities Representative
CRD No. 6411535
Pursuant to FINRA Rule 9216, Respondent Vincent Cagnina submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022073948401 Jeffrey W. Davidson CRD 4585780 AWC lp (2024-1710721209744).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073948401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeffrey W. Davidson (Respondent)
Fonner General Securities Representative
CRD No. 4585780
Pursuant to FINRA Rule 9216, Respondent Jeffrey W. Davidson submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Investors of Color: New Insights from FINRA’s Investor Education Foundation
On this episode, we dig into a new report from the FINRA Investor Education Foundation, Investors of Color in the United States, that highlights interesting trends related to the pace at which Black/African American, Hispanic/Latino and Asian American/Pacific Islander investors are entering the market, their views on risk, where they're receiving information and more.