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2019060701001 David Daniel Lopez CRD 2667397 AWC va (2021-1624062009435).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060701001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Daniel Lopez (Respondent) Former General Securities Principal CRD No. 2667397 Pursuant to FINRA Rule 9216, Respondent David Daniel Lopez submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018060596601 Levi William Johnson CRD 1539986 AWC va (2021-1624062009396).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060596601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Levi William Johnson (Respondent) General Securities Representative CRD No. 1539986 Pursuant to FINRA Rule 9216, Respondent Levi William Johnson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018058588501 Christopher Peter Tranchina CRD 5657849 OHO Decision jlg (2021-1624062010459).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complaint, v. CHRISTOPHER PETER TRANCHINA (CRD No. 5657849), Respondent. Disciplinary Proceeding No. 2018058588501 Hearing Officer-DDM HEARING PANEL DECISION May 18, 2021 Respondent Christopher Peter Tranchina engaged in conversion and unauthorized access to firm information by breaking into his former firm's offices and taking customer files. For this misconduct, he is barred from associating with a
Sarah Wallis
Sarah Wallis is Senior Vice President of Regulatory Operations Strategy, Data and Technology. In this role, she supports FINRA’s efforts to modernize its regulatory model and continue strengthening and unifying its regulatory operations. To that end, Ms. Wallis oversees a team designed to take a unified approach to strategic and capital planning, cross-functional process and technology investments, including business case development, data integration and access priorities, business and technology road-mapping, and program delivery for key initiatives.
2019064242701 Mark William Just CRD 1138738 AWC jlg (2021-1624062011104).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064242701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Mark William Just (Respondent)
General Securities Principal
CRD No. 1138738
Pursuant to FINRA Rule 9216, Respondent Mark William Just submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Karinya Verghese
Karinya Verghese is Chief of Staff to the Chief Financial and Administration Officer (CFAO) and Vice President of Strategic Operations. In this role, Ms. Verghese provides strategic support to the CFAO and his leadership team, and oversees a diverse range of functions that advance Enterprise & Financial Solutions operational effectiveness and strategic direction, including strategic initiatives, business operations, training and development, and regulatory compliance.