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2017052330501 Triad Advisors, LLC CRD 25803 AWC jlg (2021-1615508403618).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052330501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Triad Advisors, LLC (Respondent) Member Firm CRD No. 25803 Pursuant to FINRA Rule 9216, Respondent Triad Advisors, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057162301 J.H. Darbie & Co., Inc. CRD 43520 AWC jlg (2021-1615508403482).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057162301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.H. Darbie & Co., Inc., Respondent Member Firm CRD No. 43520 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent J.H. Darbie & Co., Inc. (the firm, or Respondent) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-037

Rule Filing Status:  Approved

Rule change to amend the By-Laws of FINRA Regulation, Inc., to further align the grounds for member removal from the NAC with an existing provision in the FINRA By-Laws related to the removal of a FINRA Governor from the FINRA Board of Governors.

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