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SR-FINRA-2022-025

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 11880 (Settlement of Syndicate Accounts) to revise the syndicate account settlement timeframe for corporate debt offerings.

2017056820701 James R. Pecoraro CRD 2440231 AWC gg (2022-1662250807388).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056820701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James R. Pecoraro (Respondent) General Securities Representative CRD No. 2440231 Pursuant to FINRA Rule 9216, Respondent James R. Pecoraro submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063430402 J.P. Morgan Securities LLC CRD 79 AWC lp (2022-1662250807401).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063430402 TO: Department of Enforcement Financial Industry Regulatory Authority (FiNRA) RE: J.P. Morgan Securities LLC (Respondent) Member Firm CRD No. 79 Pursuant to FINRA Rule 9216, Respondent J.P. Morgan Securities LLC (JPM) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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