2018060369501 Puma Capital, LLC CRD 146744 AWC lp (2023-1702513198033).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018060369501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Puma Capital LLC (Respondent)
Member Firm
CRD No. 146744
Pursuant to FINRA Rule 9216, Respondent Puma Capital LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023079976201 Robert W. Clayton, Jr. CRD 2598586 AWC vr (2023-1702513197996).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079976201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert W. Clayton, Jr. (Respondent)
General Securities Representative
CRD No. 2598586
Pursuant to FINRA Rule 9216, Respondent Robert William Clayton submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021073087601 John Roddy Hughes CRD 1895797 AWC lp (2023-1702513197979).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021073087601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John Roddy Hughes (Respondent)
Former General Securities Representative
CRD No. 1895797
Pursuant to FINRA Rule 9216, Respondent John Roddy Hughes submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023077891101 Fedelyne Cemoin CRD 6430066 AWC lp (2023-1702513197984).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023077891101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Fedelyne Cemoin (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 6430066
Pursuant to FINRA Rule 9216, Respondent Fedelyne Cemoin submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
Election Notice – 11/15/2023
Summary
The purpose of this Election Notice is to notify FINRA mid-size firms of a contested election for a mid-size firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots. The two open large firm NAC member seats are not contested; therefore, no election will be held for the large firm seats.
SR-FINRA-2023-016
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to permit projections of performance in institutional communications and specified communications to qualified purchasers.
2019061852801 Haywood Securities (USA) Inc. CRD 42072 AWC vr (2023-1702513197989).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061852801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Haywood Securities (USA) Inc. (Respondent)
Member Firm
CRD No. 42072
Pursuant to FINRA Rule 9216, Respondent Haywood Securities (USA) Inc. ("Haywood USA")
submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a
settlement of the alleged rule violations described below.