2019062425701 Jonathan H. Dudley CRD 5413469 AWC jlg (2021-1613089200134).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062425701
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jonathan H. Dudley (Respondent)
Former Investment Company and Variable Contracts Products Representative CRD No. 5413469
Pursuant to FINRA Rule 9216, Respondent Jonathan H. Dudley submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019062711601 Arthur Obermeier CRD 350245 AWC jlg (2021-1613089199701).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2019062711601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA)
RE: Arthur Obermeier (Respondent) Former General Securities Representative CRD No. 350245
Pursuant to FINRA Rule 9216, Respondent Arthur Obermeier 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
2018060548501 VALIC Financial Advisors, Inc. CRD 42803 AWC jlg (2021-1613002801906).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060548501
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: VALIC Financial Advisors, Inc. (Respondent) Member Firm CRD No. 42803 Pursuant to FINRA Rule 9216, Respondent VALIC Financial Advisors, Inc. (VFA) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
