2020067994801 John C. Shen CRD 4859035 AWC lp (2024-1728260411790).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067994801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John C. Shen (Respondent)
General Securities Representative
CRD No. 4859035
Pursuant to FINRA Rule 9216, Respondent John C. Shen submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2024082405101 Waldon Fenster CRD 7678526 AWC lp (2024-1728260411349).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024082405101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Waldon Fenster (Respondent)
Former Associated Person
CRD No. 7678526
Pursuant to FINRA Rule 9216, Respondent Waldon Fenster submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2021071695501 Odeon Capital Gorup LLC CRD 148493 AWC lp (2024-1728260411742).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071695501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Odeon Capital Group LLC (Respondent)
Member Firm
BD No. 148493
Pursuant to FINRA Rule 9216, Respondent Odeon Capital Group submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2024081647103 John Babatunde Abolarin CRD 2659399 AWC lp (2024-1728260411390).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081647103
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John Babatunde Abolarin (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 2659399
Pursuant to FINRA Rule 9216, Respondent John Babatunde Abolarin submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020068885401 Simone Alfredo Giuseppe Garofalo CRD 7025823 AWC gg (2024-1728174010646).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068885401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Simone Alfredo Giuseppe Garofalo (Respondent)
Former Foreign Associate
CRD No. 7025823
Pursuant to FINRA Rule 9216, Respondent Simone Alfredo Giuseppe Garofalo submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.