Regulatory Notice 20-15

Summary

FINRA amended its Membership Application Program (MAP) rules to create further incentives for the timely payment of arbitration awards by preventing an individual from switching firms, or a firm from using asset transfers or similar transactions, to avoid payment of arbitration awards.

2018060933401 Leonard C Kinsman CRD 2816535 AWC sl (2020-1592612368748).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060933401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Leonard C. Kinsman, Respondent Former General Securities Representative and General Securities Principal CRD No. 2816535 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Leonard C. Kinsman submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057530701 SunTrust Investment Services, Inc CRD 17499 AWC sl (2020-1592525969098).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057530701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SunTrust Investment Services, Inc., Respondent FINRA Member Firm CRD No. 17499 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent SunTrust Investment Services, Inc. (“SunTrust” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule

2019062980701 Dennis J. Murphy CRD 4840274 AWC sl (2020-1592525969095).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062980701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dennis J. Murphy, Respondent Former General Securities Representative, General Securities Principal, and Compliance Officer CRD No. 4840274 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Dennis J. Murphy submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
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