Regulatory Notice 20-07

Summary

This Notice addresses the characteristics of Uniform Transfers to Minors Act (UTMA) and Uniform Gifts to Minors Act (UGMA) accounts (collectively referred to herein as “UTMA/UGMA Accounts”) and the responsibilities of member firms to supervise UTMA/UGMA Accounts.

Questions regarding this Notice should be directed to:

2019062775401 Boris Skorodumov CRD 6037563 AWC va (2020-1585268425765).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062775401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Boris Skorodumov, Respondent Former Registered Representative CRD No. 6037563 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Boris Skorodumov submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061944201 Joseph Morris Thurnherr CRD 5045624 AWC sl (2020-1585268425216).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061944201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Morris Thurnherr, Respondent Former General Securities Representative CRD No. 5045624 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Joseph Morris Thurnherr 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

2018059746001 Paul A. Falcon CRD 2464566 AWC sl (2020-1585268425686).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059746001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul A. Falcon, Respondent General Securities Representative CRD No. 2464566 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Paul A. Falcon 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

2014041254101 Pedro Perez-Riu CRD 2947699 AWC sl (2020-1585268425671).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041254101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pedro Perez-Riu, Respondent Registered Representative CRD No. 2947699 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Pedro Perez-Riu (“Perez” 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.
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