SR-FINRA-2022-024
Rule Filing Status: Approved
Rule change to amend the Codes of Arbitration Procedure to modify the current process relating to the expungement of customer dispute information.
2022074311701 StratCap Securities, LLC CRD 151152 AWC vr (2023-1694391608185).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074311701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: StratCap Securities, LLC (Respondent)
Member Firm
CRD No. 151152
Pursuant to FINRA Rule 9216, Respondent StratCap Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2021072523701 Kevin Joe Hall CRD 5684384 AWC gg (2023-1694391608193).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072523701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kevin Joe Hall (Respondent)
Former General Securities Representative
CRD No. 5684384
Pursuant to FINRA Rule 9216, Respondent Kevin Joe Hall 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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