Sales Practice Examination

Organization

Total Mentions

Documents

Connected Entities

Organization referenced in documents

Document Mentions (5)

EFTA00069181.pdf (email 3: Fw: Formal appeal for preliminary denial covered action 2015)

EFTA00069181_email_003

1 mention

stors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA's Sales Practice Examination, Risk Monitoring and Membership Application ... www.finra.org Like Bobby Sollazzo, WHAT did Mikey Rufino do in his 32 years at the BD SRO FINRA to s

EFTA00102264.pdf (email 2: Fw: Formal appeal for preliminary denial covered action 2015)

EFTA00102264_email_002

1 mention

stors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA's Sales Practice Examination, Risk Monitoring and Membership Application ... www.finra.org EFTA00102269 Like Bobby Sollazzo, WHAT did Mikey Rufino do in his 32 years at the BD

EFTA00086291.pdf (email 2: Fw: Formal appeal for preliminary denial covered action 2015)

EFTA00086291_email_002

1 mention

stors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA's Sales Practice Examination, Risk Monitoring and Membership Application ... www.finra.org EFTA00086298 Like Bobby Sollazzo, WHAT did Mikey Rufino do in his 32 years at the BD

Connected Entities(20 of 85)

Janey

Person

Refers to Janey, an SEC Office of the Whistleblower staff member repeatedly addressed in SEC whistleblower complaint emails