GINA REA KIDD

04/01/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gina Kidd CRD No. 6658538, Respondent Disciplinary Proceeding No. 2019064729705 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT DATE: April 1, 2022 INTRODUCTION Disciplinary Proceeding No. 2019064729705 was filed on February 4, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Gina Kidd submitted an Offer of Settlement (Offer) to Complainant dated March 30, 2022. Pursuant to FINRA Rule 9270(e), the Complainant and the National Adjudicatory Council (NAC), a Review Subcommittee of the NAC, or the Office of Disciplinary Affairs (ODA) have accepted the uncontested Offer. Accordingly, this Order now is issued pursuant to FINRA Rule 9270(e)(3). The findings, conclusions, and sanctions set forth in this Order are those stated in the Offer as accepted by the Complainant and approved by the

02/04/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gina Kidd, CRD No. 6658538, Respondent. Disciplinary Proceeding No. 2019064729705 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In December 2021, Respondent Gina Kidd failed to appear for on-the-record testimony requested by FINRA staff pursuant to FINRA Rule 8210. As a result, Kidd violated FINRA Rules 8210 and 2010.

Reference 2019064729705data-portal.finra.orgfinra.orgdata-portal.finra.org