2020068626201 Grace M. Casella CRD 7233781 AWC DM (2021-1624839617206).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068626201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Grace M. Casella (Respondent)
Former General Securities Representative
CRD No. 7233781
Pursuant to FINRA Rule 9216, Respondent Grace M. Casella submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below. This AWC is submitted on
2019061943301 Ryan Tarjanyi CRD 6065805 AWC va (2021-1624839616766).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061943301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Ryan Tarjanyi (Respondent)
General Securities Representative
Investment Company and Variable Contracts Products Representative
CRD No. 6065805
Pursuant to FINRA Rule 9216, Respondent Ryan Tarjanyi submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.