Special Notice – 4/19/24
Summary
FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides:
SR-FINRA-2024-005
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to retire the FINRA Rule 10000 Series (Code of Arbitration Procedure).
2023078504001 Joseph Samuel Vanelli III CRD 6656001 AWC lp (2024-1715991603727).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078504001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Joseph Samuel Vanelli III (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 6656001
Pursuant to FINRA Rule 9216, Respondent Joseph Samuel Vanelli III, submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019064856101 Flow Traders U.S. LLC CRD 150780 AWC gg (2024-1715905221418).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064856101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Flow Traders U.S. LLC (Respondent)
Member Firm
CRD No. 150780
Pursuant to FINRA Rule 9216, Respondent Flow Traders U.S. LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.