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SR-FINRA-2021-007
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend its time to announce the implementation schedule for FINRA’s corporate bond new issue reference data service.
2019062068001 Jared Matthew Reinstein CRD 5411470 AWC sl (2021-1620951611628).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062068001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jared Matthew Reinstein (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 5411470 Pursuant to FINRA Rule 9216, Respondent Jared Matthew Reinstein submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
3-18989 3-18990 2013037522501 Trevor Michael Saliba CRD 2692057 Arthur Mansourian CRD 5252154 SEC Decision va (2021-1620951621595).pdf
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 91527 / April 9, 2021 Admin. Proc. File Nos. 3-18989, 3-18990 In the Matter of Applications of TREVOR MICHAEL SALIBA and ARTHUR MANSOURIAN For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDING FINRA found that the owner of former member firm violated its rules by causing firm to