2022076164001 Reuben Lamont Brown CRD 7089559 AWC gg (2024-1712190004311).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076164001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Reuben Brown (Respondent) Former General Securities Representative CRD No. 7089559 Pursuant to FINRA Rule 9216, Respondent Reuben Brown submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023079740101 Stephen F. Grande CRD 2838265 AWC gg (2024-1712190004323).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079740101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen F. Grande (Respondent) General Securities Representative CRD No. 2838265 Pursuant to FINRA Rule 9216, Respondent Stephen F. Grande submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry

While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.

2021071586901 Walton RE Securities, LLC CRD 172024 AWC lp (2024-1712190005054).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071586901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Walton RE Securities, LLC (Respondent) Member Firm CRD No. 172024 Pursuant to FINRA Rule 9216, Respondent Walton RE Securities submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076528901 Lawrence Richard Brockman CRD 1126810 AWC lp (2024-1712190005790).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076528901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lawrence Richard Brockman (Respondent) Former General Securities Representative CRD No. 1126810 Pursuant to FINRA Rule 9216, Respondent Lawrence Richard Brockman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023079298201 Douglas Bauerband CRD 2850269 AWC vr (2024-1712190004561).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079298201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas Bauerband (Respondent) Former Investment Company and Variable Contracts Products Representative; Former Direct Participation Programs Representative CRD No. 2850269 Pursuant to FINRA Rule 9216, Respondent Douglas Bauerband submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to