2018057297101 Joseph V. Alhadeff CRD 2938087 AWC sl (2020-1609373998483).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057297101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph V. Alhadeff (Respondent) Former General Securities Principal CRD No. 2938087 Pursuant to FINRA Rule 9216, Respondent Joseph V. Alhadeff submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060447501 Daniel Hee CRD 5934535 AWC va (2020-1609114793573).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060447501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel Hee (Respondent) Former General Securities Representative CRD No. 5934535 Pursuant to FINRA Rule 9216, Respondent Daniel Hee 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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