2022076796001 Jason Mark Kurtz CRD 4958219 AWC lp (2024-1714695610114).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076796001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jason Mark Kurtz (Respondent)
Former General Securities Principal and General Securities Representative
CRD No. 4958219
Pursuant to FINRA Rule 9216, Respondent Jason Mark Kurtz submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023079740501 Tara Quilty CRD 3018242 AWC lp (2024-1714609207603).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079740501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Tara Quilty (Respondent)
General Securities Representative
CRD No. 3018242
Pursuant to FINRA Rule 9216, Respondent Tara Quilty submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2024080870801 Randall A. Heller CRD 1209975 AWC lp (2024-1714609207630).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024080870801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Randall A. Heller (Respondent)
Former General Securities Representative
CRD No. 1209975
Pursuant to FINRA Rule 9216, Respondent Randall A. Heller submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team
These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with two members of FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.