2023079996901 Timothy Daniel Curran CRD 2308853 AWC lp (2025-1762474804231).pdf

From June 2023 to September 2023, in anticipation of leaving RJA for a new firm, Curran improperly sent confidential and proprietary information from RJA’s systems, including nonpublic information about RJA’s customers, by emailing it to his personal email address and by printing and retaining documents. This information was directly relevant to Curran’s new position, and he accessed some of the information after moving to the new firm.

Regulatory Notice 25-12

FINRA is making available updates to the Interpretations of Financial and Operational Rules (Interpretations). The updates include several new interpretations to Securities Exchange Act (SEA) Rules 15c3-1 and 15c3-3 that have been communicated to FINRA by the staff of the SEC’s Division of Trading and Markets.

FINRA Foundation Releases Findings on Fraud Awareness Among Investors

Half of Investors Do Not Recognize Warning Signs of Fraud; Findings Released in Light of World Investor Week

WASHINGTON—In light of World Investor Week (Oct. 6-12), the FINRA Investor Education Foundation (FINRA Foundation) released today first-look findings from its forthcoming report, “Investors in the United States: A Report of the National Financial Capability Study,” which will be published in December. The report provides an in-depth exploration of the attitudes, behaviors, knowledge and experiences of retail investors in the United States.

Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals

As we kick off World Investor Week, we thought it was the perfect time to revisit some invaluable tips for investors looking to start the year off right with their financial goals. On this episode, which originally aired in January, FINRA’s Head of Investor Education Gerri Walsh shares insights on leveraging market trends and tools to achieve your money goals in 2025.
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