Thomas Marcone Comment On Regulatory Notice 25-04


What specific FINRA rules should be a focus for modernization based on their economic costs and benefits; changes in markets, products, services, or technology; or otherwise? What groups of FINRA requirements should be a focus? Please include FINRA rules that may be mandated or derived from a statutory or other non-FINRA regulatory requirement applicable to FINRA or its members. 


Rules 3110, 3120, 3130, 3210, 3270, 3280, 1010, 4590, 1210, 1220, and 1230 should be in focus. 


2022073296301 Anthony Neil Wenham CRD 4531762 Order Accepting Offer of Settlement vr.pdf

It has been determined that the Offer be accepted and that findings be made as follows: Between June 13, 2022, and August 26, 2022 (relevant period), while he was associated with Cantor Fitzgerald & Co. (Cantor), Respondent Anthony Neil Wenham recorded or caused to be recorded 440 inaccurate marks for four forward start reverse repurchase positions (Positions 1-4) in his trading book at the firm, thereby concealing unrealized losses. By reason of the foregoing, Wenham falsified firm records and therefore violated FINRA Rule 2010....

2019061232601-Alpine-Securities-Corp-NAC-20250325.pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Alpine Securities Corporation, Salt Lake City, UT, Respondent. DECISION Complaint No. 2019061232601 Dated: March 25, 2025. Member charged an unreasonable and unfairly discriminatory fee, made unauthorized securities transactions, misused and converted customer assets, priced securities trades unfairly, and made an unauthorized capital withdrawal. Held, findings affirmed in part and modified, and sanctions modified.
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