2019061765001 Securities America, Inc. CRD 10205 AWC jlg (2021-1619655599513).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061765001
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Securities America, Inc., Respondent
Member Firm CRD No. 10205 Pursuant to FINRA Rule 9216, Respondent Securities America, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018056443801 Cambridge Investment Research, Inc. CRD 39543 AWC jlg (2021-1619655599340).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056443801
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cambridge Investment Research, Inc., Respondent Member Firm CRD No. 39543 Pursuant to FINRA Rule 9216, Respondent Cambridge Investment Research, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
2019061764801 J.W. Cole Financial, Inc. CRD 124583 AWC jlg (2021-1619655599746).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061764801
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J.W. Cole Financial, Inc., Respondent
Member Firm CRD No. 124583 Pursuant to FINRA Rule 9216, Respondent J.W. Cole Financial, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019061870301 Keith Holcomb CRD 6227200 AWC jlg (2021-1619655599226).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061870301
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Keith Holcomb (Respondent)
Former Investment Company and Variable Contracts Products Representative CRD No. 6227200
In accordance with FINRA Rule 9216, Respondent Keith Holcomb submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.