2019061947601 Joseph A. Ambrosole CRD 5732488 AWC va (2021-1620433200163).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061947601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph A. Ambrosole (Respondent) General Securities Representative CRD No. 5732488 Pursuant to FINRA Rule 9216, Respondent Joseph A. Ambrosole submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019062890901 Timothy Andrew Catanzano CRD 4266723 AWC sl (2021-1620433199884).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019062890901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Timothy Andrew Catanzano (Respondent)
Former Investment Company and Variable Contracts Products Representative and
Former General Securities Representative
CRD No. 4266723
Pursuant to FINRA Rule 9216, Respondent Timothy Andrew Catanzano submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing
2019063762101 Valerie Kaye Ingram CRD 4360703 AWC sl (2021-1620433200064).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063762101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Valerie Kaye Ingram (Respondent)
Former General Securities Representative and
Former Investment Company and Variable Contracts Products Representative
CRD No. 4360703
Pursuant to FINRA Rule 9216, Respondent Valerie Ingram submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
SR-FINRA-2021-006
Rule Filing Status Report: Filed for Immediate Effectiveness
Rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from April 30, 2021, to August 31, 2021.