2019063301201 Mark William Menard CRD 2066529 AWC sl (2020-1593735566103).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2019063301201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Mark William Menard, Respondent
General Securities Representative CRD No. 2066519
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Mark William Menard 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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2016051884601 Mizuho Securities USA Inc., CRD 19647 AWC va (2020-1593649171301).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051884601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mizuho Securities USA LLC, Respondent Broker-Dealer CRD No. 19647 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Mizuho Securities USA LLC ("Mizuho", the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
2019064729701 Marie Bernadette Kincheloe CRD 6527523 AWC va (2020-1593649172739).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064729701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marie Bernadette Kincheloe, Respondent Former Registered Representative CRD No. 6527523 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Marie Bernadette Kincheloe (Kincheloe) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2015045755510 Douglas A Sanzone CRD 1646194 AWC sl (2020-1593649170782).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2015045755510
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Douglas A. Sanzone, Respondent
Former General Securities Principal CRD No. 1646194
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Douglas A. Sanzone (“Sanzone” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.
2015045755501 John Grifonetti CRD 3040205 AWC sl (2020-1593649171143).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2015045755501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John Grifonetti, Respondent
Former General Securities Principal CRD No. 3040205
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John Grifonetti (“Grifonetti” or “Respondent") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the alleged rule violations described below.