4111. Restricted Firm Obligations

(a)  General
A member designated as a Restricted Firm shall be required, except as provided in paragraphs (e) and (f) of this Rule, to establish a Restricted Deposit Account and deposit in that account cash or qualified securities with an aggregate value that is not less than the member's Restricted Deposit Requirement, and shall be subject to such conditions or restrictions on the member's operations as determined by the Department to be necessary or appropriate for the protection of investors and in the

2019064977701 James F. O'Reilly CRD 2209758 AWC va (2021-1630542026408).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064977701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James F. O’Reilly (Respondent) Former General Securities Representative CRD No. 2209758 Pursuant to FINRA Rule 9216, Respondent James F. O’Reilly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020067888701 Jeffrey Scott Anderson CRD 5993214 AWC va (2021-1630542025393).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067888701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Scott Anderson (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5993214 Pursuant to FINRA Rule 9216, Respondent Jeffrey Scott Anderson (“Respondent” or “Anderson”) 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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