2019 FINRA Cybersecurity Half-Day Seminars

FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.

The seminars are designed for compliance and cybersecurity professionals at small- to medium- sized firms looking to understand and mitigate cybersecurity risks and what firms can do to protect their customer or firm confidential information.

2019 FINRA Cybersecurity Half-Day Seminar - Los Angeles

FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.

The seminars are designed for compliance and cybersecurity professionals at small- to medium- sized firms looking to understand and mitigate cybersecurity risks and what firms can do to protect their customer or firm confidential information.

Information Notice 5/10/19

Summary

This Notice provides information to assist market participants in understanding the short sale volume data published on FINRA’s website. FINRA is aware that some market participants, including investors, may occasionally perceive the percentage of short sale volume to be unusually high or inconsistent with reported short interest data. This perception may cause market participants to draw inaccurate conclusions about the level or nature of short selling activity in the relevant security.

FINRA Orders Buckman, Buckman & Reid to Pay Approximately $205,000 in Restitution to Customers for Supervisory Failures Involving Excessive and Unsuitable Trading

Firm Owner Sanctioned for Failing to Supervise Two Registered Representatives

WASHINGTON — FINRA announced today that it has ordered New Jersey-based broker-dealer Buckman, Buckman & Reid, Inc. (BBR) to pay approximately $205,000 in restitution to seven customers for failing to reasonably supervise two former registered representatives who recommended excessive and unsuitable trades in multiple customer accounts. As part of the settlement, FINRA also required the firm to review and revise its supervisory system and written supervisory procedures.

Broker Dealer Firms We Regulate - #

&PARTNERS
40 BURTON HILLS BLVD., SUITE 350, NASHVILLE, TN 37215

1031 SECURITIES INC.
25300 WEST 13 MILE RD, FRANKLIN, MI 48025

16 POINTS LLC
10101 COND ROYAL PALM, VEGA ALTA, PR 00692

1851 SECURITIES, INC
ONE AMERICAN ROW, HARTFORD, CT 06102

1964 GLOBAL
71 MURRAY STREET, NO. 8, NEW YORK, NY 10007

1ST DISCOUNT BROKERAGE, INC.
8927 HYPOLUXO ROAD, SUITE A5, LAKE WORTH, FL 33467

2021 CAPITAL
20 S CLARK STREET, STE 700, CHICAGO, IL 60603

303 ALTERNATIVES, LLC
401 WEST SUPERIOR STREET, CHICAGO, IL 60654

Broker Dealer Firms We Regulate - Y

YELLOW CARDINAL CORPORATE FINANCE, LLC
9120 UNION CENTRE BLVD, SUITE 200, WEST CHESTER, OH 45069

YORK SECURITIES, INC.
160 BROADWAY, NEW YORK, NY 10038

YORK STOCKBROKERS, INC.
575 MADISON AVENUE, SUITE 1006, NEW YORK, NY 10022

YOSEMITE EXECUTION PARTNERS INC.
409 READ DR., LAFAYETTE, CA 94549

YOUNG & PARTNERS LLC
535 FIFTH AVENUE, 4TH FLOOR, NEW YORK, NY 10017

YOUNG AMERICA CAPITAL, LLC
141 EAST BOSTON POST ROAD, MAMARONECK, NY 10543

Broker Dealer Firms We Regulate - X

XLII FINANCIAL SERVICES LLC
10023 APPLE CREEK DRIVE, DALLAS, TX 75243

XML SECURITIES
6901 ROCKLEDGE DRIVE, SUITE 730, BETHESDA, MD 20817

XMS CAPITAL PARTNERS, LLC
321 N CLARK STREET, SUITE 2440, CHICAGO, IL 60654

XNERGY FINANCIAL LLC
1801 CENTURY PARK EAST, 25TH FLOOR, LOS ANGELES, CA 90067

XP INVESTMENTS US, LLC
55 WEST 46TH STREET, 30TH FLOOR, NEW YORK, NY 10036
Mailing Address: 701 BRICKELL AVENUE, #2120, MIAMI, FL 33131

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