Fast Account Switching Webinar

Join FINRA staff Tuesday, Aug. 15 for a 30-minute webinar about the new Fast Account Switching capability. During the webinar, FINRA will discuss the new functionality, demonstrate how it works in the live system, and answer questions submitted by attendees before and during the event. Space is limited; please register early. 

2022075872401 Lucy Yi Lin CRD 7449972 AWC lp (2023-1694305204554).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075872401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lucy Yi Lin (Respondent) Former Associated Person CRD No. 7449972 Pursuant to FINRA Rule 9216, Respondent Lucy Yi Lin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077842701 Bryan Adem Joseph CRD 7505049 AWC gg (2023-1694218802124).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077842701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan Adem Joseph (Respondent) CRD No. 7505049 Pursuant to FINRA Rule 9216, Respondent Bryan Adem Joseph submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076459304 Raymond William Clark CRD 2865619 AWC lp (2023-1694218802368).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076459304 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond William Clark (Respondent) Former General Securities Representative and Former General Securities Principal CRD No. 2865619 Pursuant to FINRA Rule 9216, Respondent Raymond William Clark 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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