2022074278301 BrokerBank Securities, Inc. CRD 130116 and Philip Paul Wright CRD 2453688 Complaint geg (2023-1681950014151).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. BrokerBank Securities, Inc. CRD No. 130116, And Philip Paul Wright, CRD No. 2453688, Respondents. Disciplinary Proceeding No. 2022074278301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 10, 2017 and October 28, 2019, Respondent BrokerBank Securities, Inc.

2020066887202 Derek John Rehill CRD 2935032 AWC va (2023-1681950014147).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066887202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Derek John Rehill (Respondent) General Securities Principal and General Securities Representative CRD No. 2935032 Pursuant to FINRA Rule 9216, Respondent Derek John Rehill submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Encore | Membership Application Program: Reviewing and Approving Digital Asset Firms

The market for crypto assets has seen continued growth and firms are looking for ways to get involved in the digital asset space. So far, about two dozen firms have been approved by FINRA to provide services in securities backed by digital assets. And more firms are looking to follow in their footsteps. On this episode, we hear about some common sticking points in these new and continuing member applications and how FINRA is working to support innovation while protecting investors in this dynamic environment.
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