SR-FINRA-2020-007

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 2111 (Suitability), 2310 (Direct Participation Programs), 2320 (Variable Contracts of an Insurance Company), 2341 (Investment Company Securities), and 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements), and Capital Acquisition Broker (CAB) Rule 211 (Suitability).

RAP

Registered Accounting Professional (RAP)

Designation Essentials
Status Status cannot be verified. Issuing organization appears to be defunct.
Designation Notes

Designation previously issued by Designation Depot
Issuing Organization
Qualification and Training Requirements
Prerequisites
Designation Training Requirements
Designation Exam Type
Continuing Education Requirements
Verification and Complaints
Online Designation Resource
Investor Complaint Process
Published List of Disciplined Designees

RFPP

Registered Financial Planning Professional (RFPP)

Designation Essentials
Status Status cannot be verified. Issuing organization appears to be defunct.
Designation Notes

Designation previously issued by Designation Depot
Issuing Organization
Qualification and Training Requirements
Prerequisites
Designation Training Requirements
Designation Exam Type
Continuing Education Requirements
Verification and Complaints
Online Designation Resource
Investor Complaint Process
Published List of Disciplined Designees

2018057755201 David R. Oakes CRD 1465154 OHO Complaint sl (2020-1586650768910).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David R. Oakes CRD No. 1465154, Respondent. Disciplinary Proceeding No. 2018057755201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between August 2016 and December 2017 (the “Relevant Period”), David Oakes structured three cash deposits and six cash withdrawals totaling $61,500 for the purpose of attempting to evade federal reporting requirements.

2015048311501 GFI Securities LLC CRD 19982 AWC sl (2020-1586650771040).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048311501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: GFI Securities LLC, Respondent Member Firm CRD No. 19982 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent GFI Securities LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Subscribe to