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Regulatory Notice 20-35

Summary

FINRA warns member firms of a widespread, ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA asking member firms to complete a survey (see sample below). The email was sent from the domain “@regulation-finra.org” and was preceded by “info” followed by a number, e.g., [email protected]. FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident.

2018059776401 Steven Michael Gribben CRD 5835239 AWC sl (2020-1604621969691).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059776401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Michael Gribben, Respondent Former General Securities Representative, General Securities Principal, Investment Banking Representative, and Investment Banking Principal CRD No. 5835239 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Steven Michael Gribben submits this Letter of Acceptance, Waiver and Consent (AWC)

2019064190001 Tracy M. Meade CRD 6145108 AWC va (2020-1604535576484).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064190001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tracy M. Meade, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6145108 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Tracy M. Meade 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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