2020067957701 J.P. Morgan Securities LLC CRD 79 AWC lp (2024-1724977211678).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067957701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J.P. Morgan Securities LLC (Respondent) Member Firm CRD No. 79 Pursuant to FINRA Rule 9216, Respondent J.P. Morgan Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077774901 Dale Self CRD 2782162 AWC lp (2024-1724977211539).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077774901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dale Self (Respondent) Former General Securities Representative CRD No. 2782162 Pursuant to FINRA Rule 9216, Respondent Dale Self submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078271701 Cathy Vasilev CRD 4413359 AWC vr (2024-1724977217401).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078271701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cathy Vasilev (Respondent) Former General Securities Representative CRD No. 4413359 Pursuant to FINRA Rule 9216, Respondent Cathy Vasilev submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 24-10

Summary

FINRA reminds members of its policy prohibiting members and their associated persons from making audio or video recordings of conversations between FINRA staff and member firm personnel during calls or meetings related to FINRA’s oversight functions.

Questions regarding this Notice should be directed to Carrie Jordan, Principal Counsel, Office of General Counsel, at (212) 858-4210 or by email.

2021071099404 Western International Securities, Inc. CRD 39262 AWC lp (2024-1724890816381).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071099404 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc. (Respondent) Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216, Respondent Western International Securities, Inc. 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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