2018058202901 James Richards CRD 3120249 AWC va (2020-1589069967928).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058202901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Richards, Respondent Registered Representative CRD No. 3120249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Richards ("Richards" 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.

2018060216701 Bryce Patrick Jenney CRD 6207379 OHO Decision va (2020-1589069966976).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRYCE PATRICK JENNEY (CRD No. 6207379), Respondent. Disciplinary Proceeding No. 2018060216701 Hearing Officer-DW AMENDED DEFAULT DECISION April 9, 2020 For failing to produce documents and twice failing to appear and provide on-the-record testimony during an investigation as required by FINRA Rule 8210, Respondent is barred from associating with any FINRA member in any capacity.

SAA Certification Period

Super Account Administrator (SAA) Certification

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. For 2020, the certification period is April 20 - July 20, 2020.

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