2024081388501 Kimberly A. Clark CRD 4312757 AWC gg (2024-1731111606050).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081388501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kimberly A. Clark (Respondent)
Former General Securities Representative
CRD No. 4312757
Pursuant to FINRA Rule 9216, Respondent Kimberly A. Clark submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022075368101 Kevin P. Kuhl CRD 6289249 AWC gg (2024-1731025199616).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075368101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kevin P. Kuhl (Respondent)
General Securities Representative
CRD No. 6289249
Pursuant to FINRA Rule 9216, Respondent, Kevin P. Kuhl, submit this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2024081396701 Vincent Catanzaro CRD 2566951 AWC gg (2024-1731025199630).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081396701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Vincent Catanzaro (Respondent)
General Securities Representative
CRD No. 2566951
Pursuant to FINRA Rule 9216, Respondent Vincent Catanzaro submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019063686208 Lawrence Merl CRD 2443190 AWC gg (2024-1731025200863).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063686208
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Lawrence Merl (Respondent)
Former General Securities Representative
CRD No. 2443190
Pursuant to FINRA Rule 9216, Respondent Lawrence Merl submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018056490316 Kostas Tsamos aka Gus Tsamos CRD 2782014 AWC lp (2024-1731025200437).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018056490316
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kostas Tsamos also known as Gus Tsamos (Respondent)
Former General Securities Representative
CRD No. 2782014
Pursuant to FINRA Rule 9216, Respondent Kostas Tsamos submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.