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2019063601401 Carl George Antaki CRD 4177543 AWC va (2021-1624148421405).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063601401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carl George Antaki (Respondent) General Securities Representative CRD No. 4177543 Pursuant to FINRA Rule 9216, Respondent Carl George Antaki submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017052867301 Mercer Hicks III CRD 245170 OHO Decision va (2021-1624148418809).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MERCER HICKS III (CRD No. 245170), Respondent. Disciplinary Proceeding No. 2017052867301 Hearing Officer-MC EXTENDED HEARING PANEL DECISION May 19, 2021 Respondent Mercer Hicks III is barred from associating with any FINRA member firm in any capacity for making unsuitable recommendations to five

Rebecca Parrish Comment On Regulatory Notice 21-17

I strongly encourage FINRA to allow exams to last for 5-10 years rather than 2. For industry professionals who are also parents, many of them face losing their registrations if they choose to leave the workforce for a few years until their young children are schoolage. This predominantly affects women, as statistically it's most likely that the mother will stay home with the kids. Many other professions allow for licensing to be held as long as continuing education is current.

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