Regulatory Notice 24-11

Summary 

FINRA is updating the set of interpretations of the margin rule. The new, updated set of interpretations is available on the FINRA website and is effective upon publication of this Notice. To assist members, FINRA is simultaneously making available a guide to the updated interpretations that includes a text comparison with the previous interpretations and other information about the updates.   

2022076988401 Sabrina Hampton CRD 7144809 AWC lp (2024-1725754817837).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076988401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sabrina Hampton (Respondent) Former Non-Registered Associated Person CRD No. 7144809 Pursuant to FINRA Rule 9216, Respondent Sabrina Hampton submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077854301 Willnard Love CRD 7422353 Complaint vr (2024-1725668408321).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2023077854301 Department of Enforcement, Complainant, v. Willnard Love, CRD No. 7422353, Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY In January 2023, Willnard Love falsely told his firm, Northwestern Mutual Investment Services, LLC (“Northwestern” or the “firm”), that he had received a passing exam score report on the FINRA Securities Industry Essentials (“SIE”) exam when he had, in fact, failed.
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