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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024080870801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Randall A. Heller (Respondent) Former General Securities Representative CRD No. 1209975 Pursuant to FINRA Rule 9216, Respondent Randall A. Heller submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team

These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with two members of FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079884201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John D. Engler Sr. (Respondent) Former General Securities Representative CRD No. 835827 Pursuant to FINRA Rule 9216, Respondent John D. Engler Sr. 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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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071226601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Coughlin & Company, Inc. (Respondent) Member Firm CRD No. 185 Pursuant to FINRA Rule 9216, Respondent Coughlin & Company, Inc., 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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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067041002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Gerard Ciantro (Respondent) Financial and Operations Principal; General Securities Principal; General Securities Representative; Operations Professional CRD No. 2350685 Pursuant to FINRA Rule 9216, Respondent Philip Gerard Ciantro 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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