Technical Notice

Introduction to Transparency Services Initiatives and Webpage

April 28, 2020

In an effort to communicate technical changes to its trade reporting and quotation facilities - TRACE, ORF, and ADF (and related systems) with FINRA member firms, FINRA is introducing a new web page, on FINRA.org, where firms may review upcoming market transparency initiatives. This page will be updated on a regular basis in addition to technical notices that will continue to be posted and distributed via email to subscribing firms.

2019062489101 James Kennedy CRD 1527660 AWC sl (2020-1590711566505).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062489101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Kennedy, Respondent Former Registered Representative CRD No. 1527660 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent James Kennedy submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064884502 Gustavo Trujillo Franco CRD 6793684 Complaint jlg (2020-1590625169892).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gustavo Trujillo Franco (CRD No. 6793684), Respondent. Disciplinary Proceeding No. 201906488450 COMPLAINT Department of Enforcement alleges: SUMMARY 1. On November 18, 2019, and December 16, 2019, Gustavo Trujillo Franco failed to appear for testimony under oath that FINRA’s Department of Member Supervision (“Member Supervision”) had requested

2018059323201 Charles L. Doraine CRD 70411 AWC va (2020-1590625170273).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059323201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles L. Doraine, Respondent General Securities Representative CRD No. 70411 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Charles L. Doraine ("Doraine" 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.

2019061374201 Bryan E. Benson CRD 807506 AWC va (2020-1590625170500).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061374201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan E. Benson, Respondent Former General Securities Representative CRD No. 807506 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bryan E. Benson submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064884501 Gustavo Trujillo Franco CRD 6793684 Complaint va (2020-1585354766396).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gustavo Trujillo Franco (CRD No. 6793684), Respondent. Disciplinary Proceeding No. 2019064884501 COMPLAINT Department of Enforcement alleges: SUMMARY 1. On November 18, 2019 and December 16, 2019, Gustavo Trujillo Franco failed

Election Notice – 5/8/20

Executive Summary

The annual meeting of FINRA firms will take place on or about Friday, August 7, 2020, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Wednesday, July 8, 2020. 

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