SR-FINRA-2024-016
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
2023079709101 Nathan Lemberg CRD 5955295 AWC gg (2024-1730679601500).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079709101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Nathan E. Lemberg (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 5955295
Pursuant to FINRA Rule 9216, Respondent Nathan E. Lemberg submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2024081392301 Christian Scalia CRD 7616259 AWC vr (2024-1730679601729).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081392301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christian Scalia (Respondent)
Former Associated Person
CRD No. 7616259
Pursuant to FINRA Rule 9216, Respondent Christian Scalia submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2023079740601 Taulant Matthew Kodi CRD 7091117 AWC vr (2024-1730679601599).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079740601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Taulant Matthew Kodi (Respondent)
Former Associated Person
CRD No. 7091117
Pursuant to FINRA Rule 9216, Respondent Taulant Matthew Kodi submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.