2018057296401 Ezri Shechter CRD 2772177 AWC va (2020-1579306777434).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057296401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ezri Shechter, Respondent Registered Representative CRD No. 2772177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ezri Shechter ("Shechter") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059134401 Kawa Saeed Foad CRD 5374361 AWC va (2020-1579306776610).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059134401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kawa Saeed Foad, Respondent Corporate Securities Representative General Securities Representative CRD No. 5374361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kawa Saeed Foad ("Foad" 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.

Technical Notice

Holiday Reminder Regarding ORF Market Data

December 17, 2019

In observance of Christmas and New Year’s Day, the ORF System will follow the schedule below:

Tuesday, December 24, 2019             Early Close
Wednesday, December 25, 2019       Closed
Wednesday, January 1, 2020              Closed

See the table below for a schedule of modified hours for Tuesday, December 24, 2019. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.

2011029713004 Lek Securities Corporation CRD 33135 and Samuel Frederik Lek CRD 1642936 Order sl (2020-1579220372132).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lek Securities Corporation (CRD No. 33135), and Samuel Frederik Lek (CRD No. 1642936), Respondents. Disciplinary Proceeding No. 20110297130-04 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT December 17, 2019 INTRODUCTION Disciplinary Proceeding No. 20110297130-04 was filed on March 27, 2017, by the Financial Industry Regulatory Authority’s (“FINRA” or the “Complainant”) Department of Enforcement.1 Respondents Lek Securities Corporation (“LSCI” or the “Firm”) and Samuel
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