2017054411901 Scott Richard Reynolds CRD 2705340 AWC rr (2021-1619310002148).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054411901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Richard Reynolds, Respondent Former Registered Representative CRD No. 2705340 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Scott Richard Reynolds submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2020065627301 Christopher Nelson CRD 6674139 AWC DM (2021-1619223602957).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065627301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christopher Nelson (Respondent)
Former General Securities Representative
CRD No. 6674139
Pursuant to FINRA Rule 9216, Respondent Christopher Nelson submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019061906301 Corey Alexander Johnson CRD 5752206 AWC sl (2021-1619223602740).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061906301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Corey Alexander Johnson (Respondent)
General Securities Representative CRD No. 5752206
Pursuant to FINRA Rule 9216, Respondent Corey Alexander Johnson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.