Regulatory Notice 20-17

Summary

FINRA is adding two new Rule 4530 Problem Codes related to SEC Regulation Best Interest (Reg BI) and Form CRS, and making related amendments to the existing Rule 4530 Problem Code related to suitability. Starting on July 18, 2020, firms can use new Problem Code 16–Reg BI and new Problem Code 17–Form CRS, when applicable, to report customer complaint information and required documents filed under Rules 4530(f) and (g).1

2016052104101 Devin Lamarr Wicker CRD 4228250 Extended Hearing Panel Decision va (2020-1594340369623).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DEVIN LAMARR WICKER (CRD No. 4228250), Respondent. Disciplinary Proceeding No. 2016052104101 Hearing Officer-LOM EXTENDED HEARING PANEL DECISION June 5, 2020 Respondent, Devin Lamarr Wicker, is barred from association with any FINRA member in any capacity for converting $50,000 of customer funds, in violation of FINRA Rule 2150(a) and 2010. He also is ordered to

2018058983601 Dee Dee Brooks CRD 2559233 AWC va (2020-1594340369880).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058983601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dee Dee Brooks, Respondent Former Investment Company and Variable Contracts Product Representative CRD No. 2559233 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dee Dee Brooks 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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