2020066263401 Linn Christopher Shoesmith CRD 2222133 AWC jlg (2021-1612743599475).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066263401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Linn Christopher Shoesmith (Respondent) General Securities Representative and General Securities Principal CRD No. 2222133 Pursuant to FINRA Rule 9216, Respondent Linn Christopher Shoesmith submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064685901 Donald Robert Pollard CRD 2181631 AWC va (2021-1612743598733).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064685901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Donald Robert Pollard (Respondent) General Securities Representative and General Securities Principal CRD No. 2181631 Pursuant to FINRA Rule 9216, Respondent Donald Robert Pollard 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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