2017052494701 LPL Financial LLC CRD 6413 AWC gg (2024-1706314792253).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2017052494701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: LPL Financial LLC (Respondent)
Member Firm
CRD No. 6413
Pursuant to FINRA Rule 9216, Respondent LPL Financial LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2023-WestPark Capital, Inc. CRD 39914 AWC 2020067785302 (2024-1706314792245).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067785302
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: WestPark Capital, Inc. (Respondent)
Member Firm
CRD No. 39914
Pursuant to FINRA Rule 9216, Respondent WestPark Capital, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Feral Talib
Feral Talib is an Executive Vice President and the Head of Surveillance and Market Intelligence in FINRA’s Market Regulation and Transparency Services (MRTS) department, with responsibility for leading FINRA’s market surveillance programs.
Regulatory Notice 24-01
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2024.