2019063861401 Jiong Gu CRD 5768477 AWC va (2021-1610756404116).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063861401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jiong Gu (Respondent) Former Associated Person CRD No. 5768477 Pursuant to FINRA Rule 9216, Respondent Jiong Gu submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062964801 John D. Craft CRD 1844174 AWC sl (2021-1610756403033).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062964801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John D. Craft (Respondent) General Securities Representative CRD No. 1844174 Pursuant to FINRA Rule 9216, Respondent John D. Craft 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

2019063651401 Angel Lynn Simpson CRD 6488474 AWC sl (2021-1610756403693).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063651401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Angel Lynn Simpson General Securities Representative CRD No. 6488474 Pursuant to FINRA Rule 9216, Respondent Angel Simpson 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 condition that, if accepted, FINRA
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