SR-FINRA-2019-024

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).

 

2017053017201 Christopher Kozak CRD 5530806 AWC jm (2019-1575591570344).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053017201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Kozak, Respondent Former General Securities Representative CRD No. 5530806 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Christopher Kozak, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2019062550101 Brendan James Flick CRD 6130327 AWC va (2019-1575505187226).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062550101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brendan James Flick, Respondent Former Registered Representative CRD No. 6130327 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brendan James Flick ("Flick") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016050137503 Kim K. Kopacka CRD 3153396 Beth A. DeBouvre CRD 3176483 Order Accepting Offer of Settlement va (2019-1575245978438).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KIM K. KOPACKA (CRD No. 3153396) and BETH A. DEBOUVRE (CRD No. 3176483), Respondents. Disciplinary Proceeding No. 2016050137503 Hearing Officer-DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 1, 2019 INTRODUCTION Disciplinary Proceeding No. 2016050137503 was filed on March 25, 2019, by the
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