Government Shutdown Information

2020066735901 Christine Ann Ringmeier CRD 6101579 AWC jlg (2020-1607905195014).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066735901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christine Ann Ringmeier (Respondent) Former Associated Person CRD No. 6101579 Pursuant to FINRA Rule 9216, Respondent Christine Ann Ringmeier submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062357402 David Patrick Beston CRD 5296215 AWC sl (2020-1607905195029).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062357402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Patrick Beston Former Registered Representative CRD No. 5296215 Pursuant to FINRA Rule 9216, Respondent David Patrick Beston 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
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