2023 Small Firm Conference: A Fireside Chat with Robert Cook

The small firm community, those firms with 150 or fewer registered financial professionals came together in October to discuss and engage on key areas of concern at the Small Firm Conference. On this episode, we go behind the scenes of this year's event to share with you the fireside chat between FINRA CEO Robert Cook and FINRA's Head of Member Relations, Kayte Toczylowski.

2023077681201 Richard DiArenzo CRD 2752676 AWC lp (2023-1702599595822).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077681201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard DiArenzo (Respondent) Former General Securities Representative CRD No. 2752676 Pursuant to FINRA Rule 9216, Respondent Richard DiArenzo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071152401 Royal Gregory Fisher CRD 3230753 AWC lp (2023-1702599595821).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071152401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Royal Gregory Fisher (Respondent) Investment Company and Variable Contracts Products Representative (IR) CRD No. 3230753 Pursuant to FINRA Rule 9216, Respondent Royal Gregory Fisher submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075458801 H.C. Wainwright & Co., LLC CRD 375 AWC lp (2023-1702599595844).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075458801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: H.C. Wainwright & Co., LLC (Respondent) Member Firm CRD No. 375 Pursuant to FINRA Rule 9216, Respondent H.C. Wainwright & Co., 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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