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2016050938301 Michael Joseph Clarke CRD 1078211 NAC Decision va (2020-1602980370526).pdf
BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Michael Joseph Clarke Jersey City, NJ, Respondent. DECISION Complaint No. 2016050938301 Dated: September 17, 2020 Registered representative converted funds made material misrepresentations, and executed bad checks and failed electronic transfers. Held, findings and sanctions modified in part.
2019062326101 Griffinest Asia Securities LLC CRD 132187 AWC jlg (2020-1602980370542).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062326101
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Griffinest Asia Securities LLC, Respondent Member Firm CRD No. 132187 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Griffinest Asia Securities, LLC 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-2020-029
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to require firms to report time fields in trade reports submitted to an equity trade reporting facility (or “FINRA Facility”) using the same timestamp granularity that they use to report to the consolidated audit trail (“CAT”), in accordance with an SEC order granting exemptive relief from certain CAT NMS Plan requirements.