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2025086101601 Jay D. Zornes CRD 4124536 AWC lp.pdf
Zornes refused to provide information and documents requested by FINRA pursuant to
FINRA Rule 8210 in connection with a FINRA investigation into whether he used
unapproved channels to communicate with Cambridge customers. Zornes also refused to
appear for on-the-record testimony requested pursuant to FINRA Rule 8210 in
connection with FINRA's investigation. As a result, Zornes violated FINRA Rules 8210
and 2010 and is barred from associating with any FINRA member in all capacities.
24-00036(2).pdf
motion to vacate
25-01612(2).pdf
motion to vacate
SR-FINRA-2026-001
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 3290 (Outside Activities Requirements) and to delete existing FINRA Rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person). The amended requirements focus on outside activities appropriately within members’ purview that potentially present heightened risks for members and the public.
