2016051256201 BGC Financial, L.P. CRD 19801 AWC va (2019-1576196377100).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051256201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2015048347901 Clint H. Keener CRD 2250146 AWC va (2019-1576196375631).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048347901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clint H. Keener, Respondent Registered Representative CRD No. 2250146 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Clint H. Keener submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061580601 Lance Roman Armstrong CRD 4592423 AWC va (2019-1576196377259).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061580601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lance Roman Armstrong, Respondent Former General Securities Representative CRD No. 4592423 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lance Roman Armstrong submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017056197101 Timothy Robert Millis CRD 706959 AWC jm (2019-1576196377959).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056197101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Robert Millis, Respondent CRD No. 706959 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Timothy Robert Millis submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

SR-FINRA-2019-028

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6750 to provide that FINRA may publish or distribute aggregated transaction information and statistics on U.S. Treasury Securities.  

2019063631801 Philip Joseph Sparacino CRD 3243960 AWC va (2019-1576109973870).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063631801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Philip Joseph Sparacino, Respondent Former Corporate Securities Representative and Registered Options Representative CRD No. 3243960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Philip Joseph Sparacino submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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