2019064876101 Roland Gerbauld CRD 4494232 AWC va (2020-1608337198302).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064876101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roland Gerbauld, Respondent Former General Securities Representative CRD No. 4494232 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roland Gerbauld submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2017052325702 Coastal Equities Inc. CRD 23769 AWC va (2020-1608337198329).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052325702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Coastal Equities, Inc., Respondent Member Firm CRD No. 23769 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Coastal Equities, Inc. ("Coastal" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.