2020067118901 Jiacheng Zhou CRD 7043791 AWC DM (2021-1619742007352).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND
CONSENT NO. 2020067118901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jiacheng Zhou, Respondent
Former Investment Banking Representative
CRD No. 7043791
Pursuant to FINRA Rule 9216, Respondent Jiacheng Zhou submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2019064465201 Colin Woolford CRD 6512956 AWC DM (2021-1619742007161).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064465201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Colin Woolford (Respondent)
Former General Securities Representative
CRD No. 6512956
Pursuant to FINRA Rule 9216, Respondent Colin Woolford submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2018060741801 Gordon Bryan CRD 1292315 AWC DM (2021-1619742006808).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018060741801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Gordon Bryan
General Securities Representative
CRD No. 1292315
Pursuant to FINRA Rule 9216, Respondent Gordon Bryan submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2019063960201 Herbert G. Frey CRD 214327 AWC DM (2021-1619742006504).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063960201
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Herbert G. Frey (Respondent)
Former General Securities Representative CRD No. 214237 Pursuant to FINRA Rule 9216, Respondent Herbert G. Frey submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2013038684001 Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 AWC DM (2021-1619742007260).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2013038684001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent)
Member Firm
CRD No. 7691
Pursuant to FINRA Rule 9216, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated
(Merrill or the firm) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the
purpose of proposing a settlement of the alleged rule violations described below.