2018059178401 Austin R Dutton Jr CRD 2739167 OHO Default Decision df (2024-1720138809267).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AUSTIN R. DUTTON, JR. (CRD No. 2739167), Respondent. Disciplinary Proceeding No. 2018059178401 Hearing Officer–RES DEFAULT DECISION May 29, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for making unsuitable recommendations of alternative investments; falsifying books and records of a FINRA member firm; and failing to respond, or failing to respond in a timely manner, to FINRA Rule 8210 requests for information and documents.

SR-FINRA-2024-010

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 8312 (FINRA BrokerCheck Disclosure), which governs the information FINRA releases to the public via FINRA’s BrokerCheck® tool, to exclude from release through BrokerCheck the street address of a registered location that is reported and identified to FINRA as a private residence. The proposed rule change would help address privacy and safety concerns raised by broker-dealer firms and their associated persons about the release through BrokerCheck of the full address of an associated person’s private residential registered location.

2023079717701 Nicholas Marchelos CRD 5957506 AWC gg (2024-1722126013600).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079717701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nicholas Marchelos (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5957506 Pursuant to FINRA Rule 9216, Respondent Nicholas Marchelos submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076175702 Azmi Sharif CRD 6481342 AWC lp (2024-1722126013586).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076175702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Azmi Sharif (Respondent) General Securities Representative CRD No. 6481342 Pursuant to FINRA Rule 9216, Respondent Azmi Sharif submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program

The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB) and FINRA announced today that registration is now open for both in-person and virtual attendance of their Compliance Outreach Program for municipal market professionals. The event is open to the public and will take place on Wednesday, Nov. 20, and Thursday, Nov. 21, 2024, in Denver, Colorado.

2022076175701 Sharif Azmi Sharif CRD 2343413 AWC lp (2024-1722126013419).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076175701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sharif Azmi Sharif (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2343413 Pursuant to FINRA Rule 9216, Respondent Sharif Azmi Sharif 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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