2018058262001 Paul William Petrillo CRD 2212735 AWC va (2020-1581898768375).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058262001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul William Petrillo, Respondent Former General Securities Representative CRD No. 2212735 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Paul William Petrillo submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

11900. Clearance of Corporate Debt Securities

(a) Each member or its agent that is a participant in a registered clearing agency, for purposes of clearing over-the-counter securities transactions, shall use the facilities of a registered clearing agency for the clearance of eligible transactions between members in corporate debt securities.
(b) Paragraph (a) of this Rule does not apply to a transaction between members (the “parties”) whose accounts are carried by a member (the “carrying member”) that clears and settles the transaction through book-keeping transfers between

2018059749401 Andrew Grant CRD 2709882 AWC va (2020-1581898768468).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059749401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Grant, Respondent General Securities Representative CRD No. 2709882 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Andrew Grant submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017055395801 Albert Foronda CRD 5737620 AWC va (2020-1581898769470).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055395801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Albert Foronda, Respondent General Securities Representative CRD No. 5737620 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Albert Foronda ("Foronda" 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.

SR-FINRA-2020-002

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 11900 (Clearance of Corporate Debt Securities) to except certain transactions in corporate debt securities.  

2017053173601 Wedbush Securities Inc. CRD 877 AWC sl (2020-1581898769080).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053173601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wedbush Securities Inc., Respondent Broker-Dealer CRD No. 877 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Wedbush Securities Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Subscribe to