Election Notice - 11/7/2024

Summary

The purpose of this Election Notice is to: (1) notify members of an upcoming election to fill one large firm seat and one small firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional large or small firm candidate on the ballot.

2022074778801 Celadon Financial Group LLC CRD 36538 and Paul M. Waldman CRD 1885767 AWC vr (2024-1733012400463).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074778801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Celadon Financial Group LLC (Respondent) Member Firm CRD No. 36538 Paul M. Waldman (Respondent) General Securities Principal CRD No. 1885767 Pursuant to FINRA Rule 9216, Respondents Celadon Financial Group LLC (Celadon) and Paul M. Waldman submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075416402 David Cordell Rollins CRD 4576407 AWC vr (2024-1733012400484).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075416402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Cordell Rollins (Respondent) General Securities Representative CRD No. 4576407 Pursuant to FINRA Rule 9216, Respondent David Cordell Rollins submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2024-017

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 13606 of the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) to provide that the Director (“Director”) of FINRA Dispute Resolution Services (“DRS”) will provide a copy of the official record of an expungement hearing held pursuant to Rule 13805, and any transcription if the recording is transcribed, to any customers, upon request, who attend and participate in the expungement hearing, or who provide their position on the expungement request in writing.
Subscribe to