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2019064239301 George William Magladry, III CRD 1774860 AWC sl (2021-1613866798117).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064239301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: George William Magladry, III, Respondent Former General Securities Representative and former Investment Company and Variable Contracts Products Representative CRD No. 1774860 Pursuant to FINRA Rule 9216, Respondent George William Magladry, III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of

2013037312201 Amherst Pierpont Securities LLC FKA Amherst Securities Group, L.P. CRD 150696 AWC va (2021-1613780402406).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037312201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Amherst Pierpont Securities LLC, (f.k.a. Amherst Securities Group, L.P.), (Respondent) Member Firm CRD No. 150696 Pursuant to FINRA Rule 9216, Respondent Amherst Pierpont Securities LLC (f.k.a. Amherst Securities Group, L.P.) ("ASG" 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.

Matt Rothchild Comment On Regulatory Notice 20-42

1) When I first joined my firm, I emphasized a BCP that answered the question, “What happens if we lose use of our primary office for an extended period of time?” With that in mind, I encouraged our office staff—particularly our IT function—to think in terms of carrying on a regular workday from an alternative location. IT spent several years gradually building up our remote working capability. When COVID came, our firm made a conscious decision to carry on as usual as long as possible and committed to closing the office only if a staff member was diagnosed with the infection.