2019062544201 Brian Shevland CRD 4570496 AWC gg (2024-1709511601279).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062544201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Shevland (Respondent) General Securities Representative and General Securities Principal CRD No. 4570496 Pursuant to FINRA Rule 9216, Respondent Brian Shevland submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061213402 Luke Michael Johnson CRD 3257008 Order Accepting Offer of Settlement lp (2024-1709425196716).pdf

Disciplinary Proceeding No. 2019061213402 Hearing Officer—LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 1, 2024 Department of Enforcement, Complainant, v. Luke Michael Johnson CRD No. 3257008, Respondent. INTRODUCTION Disciplinary Proceeding No. 2019061213402 was filed on July 12, 2023, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Luke Michael Johnson submitted an Offer of Settlement (Offer) to Complainant dated January 30, 2024.

Regulatory Notice 24-03

Summary

FINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to recommendations in the report of independent counsel Lowenstein Sandler LLP (Report) and (2) clarifying and technical changes to requirements in the Codes for holding prehearing conferences and hearing sessions, initiating and responding to claims, motion practice, claim and case dismissals, and providing a hearing record. The amendments are effective for arbitration cases filed on or after March 4, 2024.

2023078620902 Linda Chan CRD 5027783 AWC vr (2024-1709425196712).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078620902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Linda Chan (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5027783 Pursuant to FINRA Rule 9216, Respondent Linda Chan 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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