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24-02227.pdf

2022077401201 William Worthen King CRD 1432593 AWC lp (2025-1743639603879).pdf

Between January 6, 2021, and January 5, 2023, King exercised discretion when he placed 204 trades without prior written authorization in the accounts of four customers. As a result, King violated FINRA Rules 3260(b) and 2010 and is suspended for 30 calendar days and fined $5,000.

2024084491401 David L. Jerke CRD 5129935 AWC lp (2025-1743639604545).pdf

Jerke refused to provide documents and information as requested by FINRA pursuant to FINRA Rule 8210. As a result, Jerke violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

2023078027502 Christopher Denis CRD 7315092 AWC lp (2025-1743639604222).pdf

Denis arranged to be, and was, present in the same room as his business partner while she took Securities Industry Essentials (SIE) examinations in November 2021 and June 2022 in order to assist her in cheating on the examinations. By this conduct, Denis violated FINRA Rule 2010 and is suspended for 18 months and fined $5,000.

Regulatory Notice 25-03

Summary

In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.

Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape

As we observe National Consumer Protection Week amid a changing financial fraud landscape, the time is ripe to talk about the ways in which investors can protect themselves from scams. On this episode, a member of the FINRA Investor Education Foundation team joins us to talk about how we can all become more informed and vigilant in today's complex financial world.