2017054462001 Axiom Capital Management, Inc CRD 26580 AWC sl (2020-1593217167932).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054462001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Axiom Capital Management, Inc., Respondent Member Firm CRD No. 26580 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Axiom Capital Management, Inc. (“Axiom” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061681801 Paul Liebeman CRD 2205116 AWC va (2020-1593130767445).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061681801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Liebman, Respondent General Securities Representative CRD No. 2205116 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Paul Liebman ("Liebman" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017056036301 Robert Nicholas Korzik CRD 1013350 AWC va (2020-1593130768408).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056036301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Nicholas Korzik, Respondent General Securities Representative CRD No. 1013350 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Nicholas Korzik ("Respondent" or "Korzik") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063606701 Michelle L. Gill CRD 6447758 AWC va (2020-1593130767120).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063606701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michelle L. Gill, Respondent Former Registered Representative CRD No. 6447758 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michelle L. Gill submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Technical Notice

Reminder – Testing U.S. Treasury Securities Executed to Hedge a Primary Market Transaction

May 26, 2020

Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier.  See additional information regarding this change in Regulatory Notice 19-30.

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