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2018057247001 Ivan Shore CRD 1012943 AWC rrm (2020-1607300393456).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057247001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ivan Shore, Respondent General Securities Representative and General Securities Sales Supervisor CRD No. 1012943 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ivan Shore submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
The Small Firm Conference Call
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski will be joined by FINRA staff to discuss recent FINRA updates and technology changes including CE Transformation, FINRA Gateway and CAT.
17-01368(2).pdf
Motion to Vacate