Election Notice – 8/17/20

Summary

The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.

2018058501501 Clifton Hideki Roberts CRD 3201516 AWC va (2020-1600042775868).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058501501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clifton Hideki Roberts, Respondent General Securities Representative (GSR) CRD No. 3201516 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Clifton Hideki Roberts submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017056561102 Network 1 Financial Securities Inc. CRD 13577 AWC sl (2020-1600042775356).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056561102 TO: Deportment of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Network 1 Financial Securities Inc., Respondent Member Firm CRD No. 13577 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Network 1 Financial Securities Inc. (“Network 1” or the “Firm”) 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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