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2018058120201 Drew R. Mantel CRD 2636917 AWC jlg (2021-1610670002569).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058120201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Drew R. Mantel (Respondent) Former General Securities Representative CRD No. 2636917 Pursuant to FINRA Rule 9216, Respondent Drew R. Mantel submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-044

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 7610A to modify the securities transaction credits applicable to non-Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “FINRA/Nasdaq TRF Chicago”) (collectively, the “FINRA/Nasdaq TRF”).

2019063613303 Marisa Kathleen Quintero CRD 6346508 AWC va (2021-1610583594328).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063613303 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marisa Kathleen Quintero, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6346508 Pursuant to FINRA Rule 9216, Respondent Marisa Kathleen Quintero 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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