2018058765701 Michael G. King, Jr. CRD 1264094 AWC va (2019-1575073175805).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058765701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael G. King, Jr., Respondent Former General Securities Representative and General Securities Principal CRD No. 1264094 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael G. King, Jr. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 19-35

Summary

The 2020 Renewal Program begins on November 11, 2019, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms.

Firms should note the following key dates in the renewal process:

2019063228001 Jefferey W. Dyra CRD 6785909 AWC va (2019-1574986774077).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063228001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jefferey W. Dyra, Respondent Former Registered Representative CRD No. 6785909 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to