Government Shutdown Information

2020067449801 LPL Financial LLC CRD 6413 AWC vr (2025-1737332409887).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067449801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: LPL Financial LLC (Respondent) Member Firm CRD No. 6413 Pursuant to FINRA Rule 9216, Respondent LPL Financial LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023080320901 Robert A. Yedid CRD 1185909 AWC gg (2025-1737246000628).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080320901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert A. Yedid (Respondent) Former General Securities Representative CRD No. 1185909 Pursuant to FINRA Rule 9216, Respondent Robert A. Yedid submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINRA Orders Three Firms to Pay Over $8.2 Million in Restitution to Customers

WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment Research, Inc.—to pay more than $8.2 million in restitution to customers who were harmed by the firms’ failures to provide available mutual fund sales charge waivers and fee rebates on mutual fund purchases. FINRA did not impose any fines in connection with these matters in recognition of each firm’s extraordinary cooperation with FINRA’s investigations.

Regulatory Notice 24-17

FINRA seeks comment on proposed amendments to FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of Interest) and 5123 (Private Placements of Securities) to make substantive, organizational and terminology changes to the rules.
Subscribe to