2018057000401 Jeffrey D. Stanga CRD 6387255 AWC jlg (2021-1618186805564).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057000401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey D. Stanga (Respondent) General Securities Representative CRD No. 6387255 Pursuant to FINRA Rule 9216, Respondent Jeffrey D. Stanga submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064323202 Michael Keith Napier CRD 4811092 AWC jlg (2021-1618186805423).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064323202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Keith Napier (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 4811092 Pursuant to FINRA Rule 9216, Respondent Michael Keith Napier submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

9285. Interim Orders and Mandatory Heightened Supervision While on Appeal or on Discretionary Review

(a) Conditions and Restrictions
(1) Motion for Conditions or Restrictions
Unless otherwise ordered by a Hearing Officer, within 10 days after service of a notice of appeal from, or the notice of a call for review of, a decision issued pursuant to Rule 9268 or Rule 9269 in which the Hearing Panel or, if applicable, the Extended Hearing Panel or the Hearing Officer finds that a Respondent violated a statute or rule provision, the Department of Enforcement may fi
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