2022073972401 Gregg Gravenstine CRD 1762521 AWC lp.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073972401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gregg Gravenstine (Respondent) General Securities Representative CRD No. 1762521 Pursuant to FINRA Rule 9216, Respondent Gregg Gravenstine submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022073966101 Mutual Securities, Inc. CRD 13092 AWC lp.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073966101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mutual Securities, Inc. (Respondent) Member Firm CRD No. 13092 Pursuant to FINRA Rule 9216, Respondent Mutual Securities, Inc., submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations

Financial social media influencers or finfluencers are growing in popularity as a cheap way to reach a new generation of investors. But using this newer form of advertising comes with risks. On this episode, we learn more about the regulatory requirements around the use of social media influencers and hear some best practices for firms looking to make use of “finfluencer” programs.
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