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2024081404601 Daniel Robert Moruzzi CRD 2315352 AWC ks.pdf
In June 2023, while associated with Kestra Investment Services, LLC, Moruzzi certified to the State of New York that he had successfully completed the continuing education (CE) required to renew his state insurance license when, in fact, he had not. Therefore, Moruzzi violated FINRA Rule 2010.
Regulatory Notice 26-21
Summary
FINRA has adopted amendments to its rules and updated its interpretations to address binary options. The amendments to Rules 2220 (Options Communications), 2360 (Options), and 4210 (Margin Requirements) clarify the application of the rules to binary options, including options whose payout is based on the value of an issuer’s reported financial or operating metrics and options cleared by a registered clearing agency other than The Options Clearing Corporation (OCC).
2023078460001 Gilbert Russell Conrad CRD 2746778 AWC ks.pdf
Between February 2013 and August 2022, Conrad violated FINRA Rule 2010 by paying
$139,000 to two clients to settle complaints about investment performance without the
knowledge or approval of the member firms with which he was then associated. For this violation, Conrad is suspended for two months and fined $5,000.