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SR-FINRA-2020-010

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to provide members with additional time to comply with the amendments adopted by SR-FINRA-2019-014 related to transactions in U.S. Treasury Securities executed to hedge certain primary market transactions.

2018058134301 Patrick M. Coogan CRD 4576580 AWC va (2020-1588378766456).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058134301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick M. Coogan, Respondent Former General Securities Princial and General Securities Representative CRD No. 4576580 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Patrick M. Coogan ("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-2020-010

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to provide members with additional time to comply with the amendments adopted by SR-FINRA-2019-014 related to transactions in U.S. Treasury Securities executed to hedge certain primary market transactions

2018059949701 Jacqueline Jacobsen CRD 2504257 AWC va (2020-1588378767666).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059949701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jacqueline Jacobsen, Respondent Registered Representative CRD No. 2504257 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jacqueline Jacobsen submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062092401 Steven Harris CRD 2440292 Complaint sl (2020-1588378767655).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven Harris CRD No. 2440292, Respondent. Disciplinary Proceeding No. 2019062092401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Steven Harris manufactured fake documents that he then provided to FINRA Staff in response to requests made pursuant to FINRA Rule 8210. FINRA Staff was
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