2018056483905 Arive Capital Markets CRD 8060 AWC lp (2024-1718324412804).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056483905 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arive Capital Markets (Respondent) Member Firm CRD No. 8060 Pursuant to FINRA Rule 9216, Respondent Arive Capital Markets submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072680701 Buckman, Buckman & Reid, Inc. CRD 23407 AWC lp (2024-1718324409290).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072680701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Buckman, Buckman & Reid, Inc. (Respondent) Member Firm CRD No. 23407 Pursuant to FINRA Rule 9216, Respondent Buckman, Buckman & Reid, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023080255801 Paul R. Fehrenbach, Jr. CRD 2390131 AWC lp (2024-1718324410979).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080255801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul R. Fehrenbach Jr. (Respondent) Former General Securities Representative CRD No. 2390131 Pursuant to FINRA Rule 9216, Respondent Paul R. Fehrenbach Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072830601 Ariel Rivero CRD 4236679 AWC lp (2024-1718324411642).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072830601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ariel Rivero (Respondent) General Securities Representative CRD No. 4236679 Pursuant to FINRA Rule 9216, Respondent Ariel Rivero 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-2024-008

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 Code of Arbitration Procedure for Customer Disputes (“Customer Code”) to clarify and, in some instances, amend the applicability of the Document Production Lists to simplified customer arbitrations administered under FINRA Rule 12800.
Subscribe to