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2019064416201 Travis Scott Hughes CRD 7136761 OHO Decision va (2021-1615076402836).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TRAVIS SCOTT HUGHES (CRD No. 7136761), Respondent. Disciplinary Proceeding No. 2019064416201 Hearing Officer-DDM HEARING PANEL DECISION February 3, 2021 Respondent is barred from associating with any member firm in any capacity for acting unethically by cheating during a qualification examination in

2019062286101 Lisa Brumm CRD 2834764 AWC va (2021-1615076402609).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062286101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lisa Brumm (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2834764 Pursuant to FINRA Rule 9216, Respondent Lisa Brumm submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064967501 Michael Paul Francoeur CRD 5534184 AWC jlg (2021-1615076402712).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064967501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Paul Francoeur (Respondent) Former General Securities Representative CRD No. 5534184 Pursuant to FINRA Rule 9216, Respondent Michael Paul Francoeur submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019060754301 RNR Securities, L.L.C. CRD 43689 AWC jlg (2021-1615076402647).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060754301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RNR Securities, L.L.C. (Respondent) Member Firm CRD No. 43689 Pursuant to FINRA Rule 9216, Respondent RNR Securities, L.L.C. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066888101 Nico Rutella CRD 5579678 AWC jlg (2021-1615076402735).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066888101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nico Rutella (Respondent) Former General Securities Representative CRD No. 5579678 Pursuant to FINRA Rule 9216, Respondent Nico Rutella 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 the