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SR-FINRA-2026-013

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to except from the requirements of the rule accounts pursuant to Section 530A of the Internal Revenue Code.

2024083892401 Michael Blackburn CRD 6463561 AWC ks.pdf

In July 2024, Blackburn provided false and misleading documents to FINRA during an examination. Additionally, in August 2024, Blackburn affixed the signatures of four firm employees to attestations without the employees’ permission and provided the documents to FINRA in response to a subsequent request during the examination. As a result, Blackburn violated FINRA Rule 2010 and is suspended in all capacities for nine months and fined $5,000.
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