FINRA News
- FINRA, NASDAQ, BX, PHLX, ISE, NYSE, NYSE Arca, NYSE American, Cboe, BZX, BYX, EDGA, and EDGX Permanently Bar Samuel Lek and Fine Lek Securities Corporation for Supervisory and Market Access Rule Violations January 26, 2020WASHINGTON — Samuel Lek, former Chief Executive Officer of Lek Securities Corporation (Lek Securities), has been permanently barred from the securities industry in all capacities, and Lek Securities was fined $900,000 for violating, among other things, FINRA and Exchange supervisory rules, and Rule 15c3-5 of the Securities Exchange Act of 1934 (the Market Access Rule). […]
- FINRA Promotes Jessica Hopper to Head of Enforcement January 26, 2020WASHINGTON—FINRA announced today that it has promoted Jessica Hopper to Executive Vice President and Head of Enforcement. Hopper has been Acting Head of Enforcement since Susan Schroeder announced her departure in September 2019. Hopper will report directly to CEO Robert Cook.
- FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter January 26, 2020WASHINGTON—FINRA today released its 2020 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas of ongoing concern that FINRA will continue to focus on in the coming year.
Leave a Reply
Want to join the discussion?Feel free to contribute!