2020068414601 Robert Jonathan Spencer CRD 431878 AWC jlg (2022-1647476402492).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068414601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert Jonathan Spencer (Respondent)
Former General Securities Representative
CRD No. 431878
Pursuant to FINRA Rule 9216, Respondent Robert Jonathan Spencer submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below. This AWC is submitted
2020066627201 First Manhattan Co. CRD 1845 AWC sl (2022-1647217213447).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066627201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: First Manhattan Co. (Respondent)
Member Firm
CRD No. 1845
Pursuant to FINRA Rule 9216, Respondent First Manhattan Co. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2015047770302 Arnold J. Feist CRD 1296808 AWC sl (2022-1647217213610).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2015047770302
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Arnold J. Feist (Respondent)
Former General Securities Representative, General Securities Principal, General
Securities Sales Supervisor, and Compliance Officer
CRD No. 1296808
Pursuant to FINRA Rule 9216, Respondent Arnold J. Feist submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.