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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063383301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sonia Maria Fernandez, Respondent General Securities Representative CRD No. 4130144 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Sonia Maria Fernandez submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064752401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey A. Broten (Respondent) Former General Securities Representative CRD No. 1006678 Pursuant to FINRA Rule 9216, Respondent Jeffrey A. Broten submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066026901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lonna R. Dehn Ristvedt, Respondent Former Investment Company and Variable Contracts Products Representative and Former Investment Company and Variable Contracts Products Principal CRD No. 2277778 Pursuant to FINRA Rule 9216, Respondent Lonna R. Dehn Ristvedt submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060629802 Yury Ivanou CRD 6435958 AWC sl (2020-1605226768995).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060629802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Yury Ivanou, Respondent Former General Securities Representative CRD No. 6435958 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Yury Ivanou submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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