2023 Ketchum Prize: The Ultimate Fraud Fighter
The 2023 FINRA Foundation Ketchum Prize recipient has dedicated his life to understanding what makes someone susceptible to fraud—and pioneering ways to fight it. On this episode, we hear from Dr. Doug Shadel to hear about his research and years of working as one of America's most active fraud fighters.
2018056483904 Frank L. Martin CRD 2859847 AWC gg (2023-1699661997926).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018056483904
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Frank L. Martin (Respondent)
General Securities Principal
CRD No. 2859847
Pursuant to FINRA Rule 9216, Respondent Frank L. Martin submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022076586001 Arun Aggarwal CRD 1658436 AWC lp (2023-1699661997925).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076586001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Arun K. Aggarwal (Respondent)
Former General Securities Representative
CRD No. 1658436
Pursuant to FINRA Rule 9216, Respondent Arun K. Aggarwal submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
U.S. Treasury Offers Free Workshop on Auction Rules
| |||
