2019062699901 Katie Ann Hudson CRD 5508543 AWC va (2020-1596154766805).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062699901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Katie Ann Hudson, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5508543 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Katie Ann Hudson ("Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 20-21

Summary

This Notice provides guidance to help member firms comply with FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning private placement offerings.

Questions concerning this Notice should be directed to:

2020065575901 Michael J. Iannarino CRD 1258453 AWC va (2020-1596154768594).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065575901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael J. Iannarino, Respondent General Securities Representative CRD No. 1258453 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael J. Iannarino 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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