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2017052466302 Robert F. Spiegel CRD 5861656 AWC va.PDF

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052466302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert F. Spiegel, Respondent Former General Securities Representative CRD No. 5861656 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert F. Spiegel submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.