2021069395701 Dalmore Group LLC CRD 136352 AWC lp (2024-1729210810247).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069395701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dalmore Group LLC (Respondent) Member Firm CRD No. 136352 Pursuant to FINRA Rule 9216, Respondent Dalmore Group LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation

Last week, FINRA CEO Robert Cook spoke at a conference hosted by the FINRA Foundation to underscore the importance of working together to disrupt the cycle of fraud. He highlighted specific areas for further coordination and announced that FINRA will reach out operators of existing regulatory databases to explore ways to create a one-stop shop resource for investor research. On this episode, we tune in to his remarks.

2023079509001 Christina Skipper CRD 7097968 AWC gg_final.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079509001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christina Skipper (Respondent) General Securities Representative CRD No. 7097968 Pursuant to FINRA Rule 9216, Respondent Christina Skipper submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023080041701 Robert K. Thompson CRD 1975407 AWC gg (2024-1729124406332).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2023080041701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert K. Thompson (Respondent) Fonner General Securities Representative CRD No. 1975407 Pursuant to FINRA Rule 9216, Respondent Robert K. Thompson submits this Letter of Acceptance, Waiver, and Consent (A WC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066661101 Pershing LLC CRD 7560 AWC gg (2024-1729124405254).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066661101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pershing LLC (Respondent) Member Firm CRD No. 7560 Pursuant to FINRA Rule 9216, Respondent Pershing LLC 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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