2020065015901 Anthony DeJohn CRD 2664760 AWC sl (2021-1634257207930).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065015901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony DeJohn, Respondent Former General Securities Representative, Former General Securities Sales Supervisor, and Former General Securities Principal CRD No. 2664760 Pursuant to FINRA Rule 9216, Respondent Anthony DeJohn submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063770601 Robert T. Nyilas CRD 1030273 AWC sl (2021-1634257208495).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063770601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert T. Nyilas (Respondent) Former General Securities Representative CRD No. 1030273 Pursuant to FINRA Rule 9216, Respondent Robert T. Nyilas submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2021-023

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) to include calendar year 2022 inspection obligations through June 30, 2022 within the scope of the supplementary material.

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