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2024084141201 James Robert Ptacek, Jr. CRD 1959049 AWC vrp.pdf

Between January 2023 and June 2024, while registered with FINRA through an association with LPL Financial, Ptacek engaged in an outside business activity by serving as a member of the board of directors and treasurer for an outside business without providing prior written notice to the firm, in violation of FINRA Rules 3270 and 2010. For this violation, Ptacek is suspended for 45 calendar days and fined $5,000...

SR-FINRA-2026-009

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (“TRACE”) to expand the scope of the non-member affiliate—principal transaction indicator to also include member affiliates.  

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