2022076942401 John Scott McCoy Jr. CRD 6078788 AWC lp (2024-1719793219080).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076942401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Scott McCoy Jr. (Respondent) Former General Securities Representative CRD No. 6078788 Pursuant to FINRA Rule 9216, Respondent John Scott McCoy Jr. 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-2024-009

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) to modify the trade reporting fees and caps applicable to non-retail participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret and the FINRA/Nasdaq Trade Reporting Facility Chicago.

2023077022401 Ronald H. Berg CRD 19008 AWC lp (2024-1719793221410).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077022401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald H. Berg (Respondent) General Securities Representative CRD No. 19008 Pursuant to FINRA Rule 9216, Respondent Ronald H. Berg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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