Regulatory Notice 20-21

Summary

This Notice provides guidance to help member firms comply with FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning private placement offerings.

Questions concerning this Notice should be directed to:

2020065575901 Michael J. Iannarino CRD 1258453 AWC va (2020-1596154768594).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065575901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael J. Iannarino, Respondent General Securities Representative CRD No. 1258453 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael J. Iannarino submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Election Notice – 7/8/20

Summary

FINRA will conduct its Annual Meeting of firms on Friday, August 7, 2020, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board).1

2018059200701 Henry A Taylor III CRD 4641256 AWC sl (2020-1596154766824).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059200701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Henry A. Taylor III, Respondent Registered Representative CRD No. 4641256 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Henry A. Taylor III submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2014042606902 Silver Leaf Partners LLC CRD 126694 NAC Decision sl (2020-1596154769005).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Silver Leaf Partners, LLC New York, NY, Respondent. Decision Complaint No. 2014042606902 Dated: June 29, 2020 Member firm failed to establish and maintain a supervisory system reasonably designed to achieve compliance with applicable securities laws, regulations, and FINRA rules, and paid transaction-based compensation to nonmember brokers. Held, findings affirmed and sanctions modified.

2018058588501 Christopher Peter Tranchina CRD 5657849 Complaint sl (2020-1596154768248).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Peter Tranchina CRD No. 5657849, Respondent. ‭Disciplinary Proceeding No. 2018058588501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Hours after member firm Homer, Townsend & Kent (“HTK”) fired Christopher Peter Tranchina and instructed him not to return to the office, Tranchina broke into his locked Office and stole client-related files belonging to HTK and its affiliated
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