2021073037102 UBS Financial Services Inc. CRD 8174 AWC gg (2024-1723076414207).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073037102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRDNo. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065474002 Lincoln Financial Distributors, Inc. CRD 145 AWC gg (2024-1723076414300).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065474002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lincoln Financial Distributors, Inc. (Respondent) Member Firm CRDNo. 145 Pursuant to FINRA Rule 9216, Respondent Lincoln Financial Distributors, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019060648401 Joseph Gunnar & Co. LLC, CRD 24795 AWC vr (2024-1723076414315).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060648401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Gunnar & Co. LLC (Respondent) Member Firm CRD No. 24795 Pursuant to FINRA Rule 9216, Respondent Joseph Gunnar & Co. LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072036301 Dante Moss CRD 7010652 AWC lp (2024-1722817208002).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072036301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dante Moss (Respondent) Investment Company and Variable Contracts Representative CRD No. 7010652 Pursuant to FINRA Rule 9216, Respondent Dante Moss submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069362701 Oshima & Associates CRD 10370 AWC lp (2024-1722817208116).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069362701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Oshima & Associates (Respondent) Member Firm CRD No. 10370 Pursuant to FINRA Rule 9216, Respondent Oshima & Associates submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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