2019063152202 Sidney Lebental CRD 5543658 Complaint vr (2023-1687479613017).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Disciplinary Proceeding No. 2019063152202
Department of Enforcement, Complainant,
v.
Sidney Lebental, CRD No. 5543658, Respondent.
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
From October 2014 through February 2021 (the Relevant Period), Respondent
Sidney Lebental engaged in 523 instances of “spoofing,” a type of fraudulent trading that
involves the use of non–bona fide orders to induce executions of bona fide orders entered on the
opposite side of the market in the same security or a correlated product.
2020067385401 Matthew Platnico CRD 2102086 AWC vr (2023-1687479613011).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067385401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Matthew Platnico (Respondent)
General Securities Representative and General Securities Sales Supervisor
CRD No. 2102086
Pursuant to FINRA Rule 9216, Respondent Matthew Platnico submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022076693501 Antonino Giaccone CRD 7414226 AWC vr (2023-1687479612994).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076693501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Antonino Giaccone (Respondent)
Former Non-Registered Fingerprint Person
CRD No. 7414226
Pursuant to FINRA Rule 9216, Respondent Antonino Giaccone 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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Report From FINRA Board of Governors Meeting – May 2023
Board Appoints Lisa Fairfax as New Public Governor, Approves 2022 Annual Financial Report and Adds New Members to Advisory Committees
WASHINGTON—FINRA's Board of Governors met on May 17-18 for the second time in 2023. During the meeting, the Board appointed a new public governor, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees.