Regulatory Notice 23-07

Summary

FINRA has adopted amendments to Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck as to whether a particular current or former member firm is currently designated as a Restricted Firm pursuant to FINRA Rules 4111 (Restricted Firm Obligations) and 9561 (Procedures for Regulating Activities Under Rule 4111).1

The new rule amendments become effective on June 1, 2023.

2019061187802 Madison Avenue Securities, LLC CRD 23224 AWC lp (2023-1685578804462).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061187802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Madison Avenue Securities, LLC (Respondent) Member Firm CRD No. 23224 Pursuant to FINRA Rule 9216, Respondent Madison Avenue Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071099402 Cullen D. Factor CRD 2569145 AWC lp (2023-1685578804302).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071099402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cullen D. Factor, Respondent Former General Securities Representative and Operations Professional CRD No. 2569145 Pursuant to FINRA Rule 9216, Respondent Cullen D. Factor submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to