2023079723501 Christopher Mancini CRD 2774915 AWC lp (2024-1728692411754).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LEITER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079723501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christopher C. Mancini (Respondent)
Investment Company Products and Variable Contracts Reprcsentauve
CRD No. 2774915
Pursuant to FINRA Rule 9216, Respondent Christopher C. Mancini submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023078910401 Giovanni Perez CRD 7742375 AWC lp (2024-1728692405615).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078910401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Giovanni Perez (Respondent)
Former Associated Person
CRD No. 7742375
Pursuant to FINRA Rule 9216, Respondent Giovanni Perez ("Perez") submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
22-02180.pdf
Consolidated with 22-01935 and 22-02921
22-02921.pdf
Consolidated with 22-01935 and 22-02180
22-01935.pdf
Consolidated with 22-02180 and 22-02921
FINRA Announces Results of Board of Governors Elections
FINRA announced today the results of its election of three Governors to its Board of Governors during the annual meeting of FINRA member firms on Wednesday. The elected Governors include: Large Firm Governor — John Vaccaro, Chair and CEO, MML Investors Services; Head of MassMutual Financial Advisors; Mid-Size Firm Governor — James Crowley, CEO, Pershing Advisor Solutions; Senior Executive Vice President, Global Head of BNY Pershing Small Firm Governor — Jennifer Szaro, Chief Compliance Officer, XML Securities
