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- 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
- FINRA Promotes Jessica Hopper to Head of Enforcement
- FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter