2020067213401 Gaetano Salvatore Ciambriello CRD 6948879 AWC jlg (2022-1642206020361).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067213401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gaetano Salvatore Ciambriello (Respondent) Former General Securities Representative (GSR) CRD No. 6948879 Pursuant to FINRA Rule 9216, Respondent Gaetano Salvatore Ciambriello submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016052104101 Devin Lamarr Wicker CRD 4228250 NAC Decision jlg (2022-1642206021995).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Devin Lamarr Wicker New York, NY, Respondent. DECISION Complaint No. 2016052104101 December 15, 2021 Registered representative converted customer funds. Held, findings and sanctions affirmed. Appearances For the Complainant: Kay Lackey, Esq., Jessica Brach, Esq., Kerry J. Land, Esq., David C. Pollack, Esq., Department of Enforcement, Financial Industry Regulatory Authority

Regulatory Notice 21-42

Summary

FINRA is alerting firms to a recently identified vulnerability in Apache Log4J software, which is an open-source, Java-based logging utility widely used by enterprise applications and cloud services. The “Log4Shell” vulnerability presents risk for member firms because they may be using this software in internal applications, or the software may be embedded in third-party software packages. In addition, many applications written in Java are potentially vulnerable.

2021070514901 Randyl R. Taber CRD 1399854 AWC jlg (2022-1642119616434).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070514901 TO: Department of Enforcement Financial Regulatory Authority (FINRA) RE: Randyl R. Taber General Securities Representative CRD No. 1399854 Pursuant to FINRA Rule 9216, Respondent R. Robert Taber 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 on the condition that, if accepted,
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