2024081446201 Andrew J. Egber CRD 1894585 AWC gg.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081446201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Andrew J. Egber (Respondent)
General Securities Representative
CRD No. 1894585
Pursuant to FINRA Rule 9216, Respondent Andrew J. Egber submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023077591501 Gary Francis Harpe CRD 2983634 Complaint vr.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Disciplinary Proceeding No. 2023077591501
Department of Enforcement, Complainant,
v.
Gary Francis Harpe, CRD No. 2983634, Respondent.
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
Respondent Gary Francis Harpe failed to respond to three FINRA requests for information and documents made pursuant to FINRA Rule 8210 and in connection with FINRA’s investigation into the circumstances surrounding Harpe’s termination from his FINRA member firm.
2021071986401 TD Ameritrade, Inc. CRD 7870 AWC lp.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071986401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: TD Ameritrade, Inc. (Respondent)
Member Firm
CRD No. 7870
Pursuant to FINRA Rule 9216, Respondent TD Ameritrade, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.