2023079976101 Kevin Zappia CRD 1360824 AWC lp (2023-1700871590340).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079976101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Zappia (Respondent) General Securities Representative CRD No. 1360824 Pursuant to FINRA Rule 9216, Respondent Kevin Zappia submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076303801 Christian Thomas Holmes CRD 6810142 AWC vr (2023-1700871595544).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076303801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christian Thomas Holmes (Respondent) Former General Securities Representative CRD No. 6810142 Pursuant to FINRA Rule 9216, Respondent Christian Thomas Holmes submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Brad Ahrens

As Senior Vice President of Advanced Analytics, Brad Ahrens oversees FINRA’s analytics strategy and implementations—including machine learning, artificial intelligence and data visualization—to further enable investor protection and safeguard the financial markets. He also chairs FINRA’s Advanced Analytics Leadership Team, which is charged with identifying and deploying analytics opportunities that will maximize the benefits to investors, member firms and FINRA.

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