2018059948101 Erlloisse Magan CRD 3146325 AWC va (2019-1573431653300).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059948101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Erlloisse Magan, Respondent Former Registered Representative CRD No. 3146325 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Erlloisse Magan ("Magan") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
11892. Clearly Erroneous Transactions in Exchange-Listed Securities
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting system owned or operated by FINRA or FINRA Regulation and authorized by the Commission, provided that the transaction meets th
SR-FINRA-2019-025
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until April 20, 2020.
2016050914401 Simon Michael Joseph CRD 5602157 AWC va (2019-1573345195628).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050914401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Simon Michael Joseph, Respondent General Securities Representative CRD No. 5602157 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Simon Michael Joseph submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
2018059088001 Maureen Scalzo CRD 1349675 AWC jm (2019-1573345204470).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059088001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Maureen Scalzo, Respondent Former General Securities Representative CRD No. 1349675 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Maureen Scalzo submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations