2018056490301 Philip Marchese CRD 5905008 AWC va (2022-1653265205307).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018056490301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Philip Marchese (Respondent)
General Securities Representative
CRD No. 5905008
Pursuant to FINRA Rule 9216, Respondent Philip Marchese submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020068071401 Amanda Lynn Williams CRD 7283014 AWC lp (2022-1653178802583).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068071401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Amanda Lynn Williams (Respondent)
Former Associated Person
CRD No. 7283014
Pursuant to FINRA Rule 9216, Respondent Amanda Lynn Williams submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.