2018060469601 Andrew B. Elsoffer CRD 2580009 AWC va (2022-1648426819736).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060469601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew B. Elsoffer (Respondent) Former General Securities Representative CRD No. 2580009 Pursuant to FINRA Rule 9216, Respondent Andrew B. Elsoffer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063248401 Barclays Capital Inc. CRD 19714 AWC va (2022-1648340421187).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063248401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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