SR-FINRA-2020-006

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 7620B (FINRA/NYSE Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility.

2018057548201 ACS Execution Services, LLC CRD 17972 AWC va (2020-1585527567125).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057548201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ACS Execution Services, LLC, Respondent Member Firm CRD No. 17972 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent ACS Execution Services, LLC ("Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-006

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (FINRA/NYSE Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).

2018059489001 Kenton C. Crabb CRD 2397338 AWC va (2020-1585527566927).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059489001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kenton C. Crabb, Respondent Former Registered Representative CRD No. 2397338 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kenton Christopher Crabb submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057829001 JAMES G. MCKINNEY CRD 2100850 OHO Decision sl (2020-1585527566579).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES G. MCKINNEY (CRD No. 2100850), Respondent. Disciplinary Proceeding No. 2018057829001 Hearing Officer-MJD DEFAULT DECISION February 27, 2020 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents and failing to provide testimony during a FINRA investigation, in violation of FINRA Rules 8210 and 2010.
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