2018058977001 Torrey Brent Sattof CRD 5851586 AWC jlg (2020-1593908368699).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058977001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Torrey Brent Sattof, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5851586 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Torrey Brent Sattof submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017053494401 Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 AWC sl (2020-1593908368578).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053494401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent, Member Firm CRD No. 7691 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

2019063123501 Robert Silverman CRD 4582993 AWC sl (2020-1593908368321).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063123501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Silverman, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 4582993 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Robert Silverman submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064131101 Timothy Bernard Cooney CRD 2946727 AWC va (2020-1593821966574).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064131101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Bernard Cooney, Respondent Former Registered Representative CRD No. 2946727 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Timothy Bernard Cooney 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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