2023080242101 Jesse A. Bray CRD 6310189 AWC vr (2024-1717978808059).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080242101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jesse A. Bray (Respondent) Former General Securities Representative CRD No. 6310189 Pursuant to FINRA Rule 9216, Respondent Jesse A. Bray submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity

Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear how the team connects trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.
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