2023079509001 Christina Skipper CRD 7097968 AWC gg_final.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079509001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christina Skipper (Respondent)
General Securities Representative
CRD No. 7097968
Pursuant to FINRA Rule 9216, Respondent Christina Skipper submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023080041701 Robert K. Thompson CRD 1975407 AWC gg (2024-1729124406332).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO.2023080041701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert K. Thompson (Respondent)
Fonner General Securities Representative
CRD No. 1975407
Pursuant to FINRA Rule 9216, Respondent Robert K. Thompson submits this Letter of
Acceptance, Waiver, and Consent (A WC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020066661101 Pershing LLC CRD 7560 AWC gg (2024-1729124405254).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066661101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Pershing LLC (Respondent)
Member Firm
CRD No. 7560
Pursuant to FINRA Rule 9216, Respondent Pershing LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2024082375901 Tamarah Daniel Taylor CRD 4237020 AWC gg (2024-1729124405280).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024082375901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Tamarah Daniel Taylor (Respondent)
General Securities Representative
CRD No. 4237020
Pursuant to FINRA Rule 9216, Respondent Tamarah Daniel Taylor submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020066831101 Colorado Financial Services Corporation CRD 104343 AWC gg (2024-1729124406621).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066831101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Colorado Financial Service Corporation (Respondent)
Member Firm
CRD No. 104343
Pursuant to FINRA Rule 9216, Respondent Colorado Financial Service Corporation submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
2021072848301 Carolina Financial Securities, LLC CRD 41970 AWC gg (2024-1729124405526).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072848301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Carolina Financial Securities, LLC (Respondent)
Member Firm
CRD No. 41970
Pursuant to FINRA Rule 9216, Respondent Carolina Financial Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2023079916101 Monique Russell CRD 6274243 AWC gg (2024-1729124406432).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079916101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Monique Russell (Respondent)
Investment Company Shares and Variable Contracts Representative
CRD No. 6274243
Pursuant to FINRA Rule 9216, Respondent Monique Russell 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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2023079727001 Albert Mosseri CRD 5624212 AWC vr (2024-1729124405285).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079727001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Albert Mosseri (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 5624212
Pursuant to FINRA Rule 9216, Respondent Albert Mosseri submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.