2021070649601 Kevin Casey CRD 2294037 AWC va (2023-1680999608394).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070649601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kevin Casey (Respondent)
Former General Securities Representative
CRD No. 2294037
Pursuant to FINRA Rule 9216, Respondent Kevin Casey submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2019064776201 Gary Mark Goldberg CRD 223919 AWC va (2023-1680999608751).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064776201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Gary Mark Goldberg (Respondent)
Former General Securities Representative
CRD No. 223919
Pursuant to FINRA Rule 9216, Respondent Gary Mark Goldberg submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020068071402 Transamerica Capital Inc. CRD 8217 AWC va (2023-1680999608350).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068071402
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Transamerica Capital, Inc. (Respondent)
Member Firm
CRD No. 8217
Pursuant to FINRA Rule 9216, Respondent Transamerica Capital, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021070581401 Webull Financial LLC CRD 289063 AWC va (2023-1680999608652).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070581401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Webull Financial LLC (Respondent)
Member Firm
CRD No. 289063
Pursuant to FINRA Rule 9216, Respondent Webull Financial LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
FINRA Fines Webull $3 Million for Options Customer Approval Violations
Firm Also Failed to Maintain Supervisory System, Report Customer Complaints
WASHINGTON—FINRA announced today that it has fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system reasonably designed to identify and respond to customer complaints; and not reporting certain written customer complaints to FINRA as required.
FIA Principal Traders Group Comment On Regulatory Notice 22-30
FIA PTG Principal Traders Group 2001 K Street NW, Suite 725, Washington, DC 20006 | Tel +1 202.466.5460 March 8, 2023 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Regulatory Notice 15-13: Trading Activity Fee (TAF), May 5, 2015 Dear Ms. Mitchell: The FIA Principal Traders Group (“FIA PTG”) 1 appreciates the opportunity to comment in response to the renewed Request for Comments on the Financial Industry Regulatory Authority, Inc.