Regulatory Notice 20-10

Summary

FINRA has amended its Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to make substantive, organizational and terminology changes to the rule.1 The amendments to Rule 5110 modernize, simplify and clarify its provisions while maintaining important protections for market participants, including issuers and investors participating in public offerings. The implementation date for amended Rule 5110(a)(3)(A), (a)(4)(A)(ii) and (a)(4)(A)(iii) is March 20, 2020.

2018059545201 Robert Juan Escobio CRD 703813 Panel Decision Granting Motion for Summary Disposition va (2020-1583718573823).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT JUAN ESCOBIO (CRD No. 703813), Respondent. Disciplinary Proceeding No. 2018059545201 Hearing Officer-DDM HEARING PANEL DECISION GRANTING MOTION FOR SUMMARY DISPOSITION February 5, 2020 Robert Juan Escobio failed to comply with multiple Rule 8210 requests for documents and information and on-the-record testimony. For this misconduct,

2017056627402 FIMCO Securities Group, Inc. CRD 30343 AWC va (2020-1583723965258).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056627402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: FIMCO Securities Group, Inc. Member Firm BD No. 30343 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent FIMCO Securities Group, Inc. ("Respondent") 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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