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2020068784901 Marceliano Macias CRD 6997916 AWC sl (2021-1634862031097).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068784901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marceliano Macias (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6997916 Pursuant to FINRA Rule 9216, Respondent Marceliano Macias submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068462901 Robert Joseph Boyer III CRD 5787312 AWC sl (2021-1634862030470).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068462901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Joseph Boyer III (Respondent) Former General Securities Representative CRD No. 5787312 Pursuant to FINRA 9216, Respondent Robert Joseph Boyer III submits this Letter of Acceptance, Waiver, and Consent for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

2014041724601 Scottsdale Capital Advisors Corporation CRD 118786, John J. Hurry CRD 2146449, Timothy B. Diblasi CRD 4623652, D. Michael Cruz CRD 2450344 SEC Decission jlg (2021-1634862029921).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 93052 / September 17, 2021 Admin. Proc. File No. 3-18612 In the Matter of the Application of SCOTTSDALE CAPITAL ADVISORS CORPORATION, JOHN J. HURRY, TIMOTHY B. DIBLASI, and D. MICHAEL CRUZ For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDING FINRA member firm and persons associated with firm appeal from a FINRA disciplinary proceeding