Nina Moss Comment On Regulatory Notice 25-07
We wanted to add a comment to section G5 related to the impact of AI agents to current workflows. AI agents have the capability now to scrape data off the internet and complete forms like a person would, they can also adapt rapidly and learn based on the success rate of the workflow, there are already instances where agentic AI was banned because of the potential for misuse like the recent ban on agentic applications to jobs on Linkedin.
Election Notice - 7/18/2025
Summary
FINRA will conduct its Annual Meeting of firms on Monday, August 18, 2025, at 9:00 a.m. Eastern Time at FINRA’s Washington, D.C., office (1700 K Street, NW, Washington, D.C.) for the purpose of electing one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1
23-03152(3).pdf
motion to vacate
23-02146(3).pdf
motion to vacate
2024083063101 Calvin Lee Gray CRD 7575351 OHO Decision ks (2025-1754785195023).pdf
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
CALVIN LEE GRAY
(CRD No. 7575351),
Respondent.
Disciplinary Proceeding
No. 2024083063101
Hearing Officer–MJD
DEFAULT DECISION
June 26, 2025
Respondent Calvin Lee Gray is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents during a FINRA investigation, in violation of FINRA Rules 8210 and 2010.
2023079728601 Ishamael Williams CRD 6128916 OHO Decision ks (2025-1754785196117).pdf
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
ISHMAEL WILLIAMS
(CRD No. 6128916),
Respondent.
Disciplinary Proceeding
No. 2023079728601
Hearing Officer–MJD
DEFAULT DECISION
June 17, 2025
Respondent Ishmael Williams is barred from associating with any FINRA
member firm in any capacity for providing false and misleading written
responses and testimony during an investigation and for failing to respond to
requests for information and documents, in violation of FINRA Rules 8210
and 2010.