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2018059545201 Robert Juan Escobio CRD 703813 Panel Decision Granting Motion for Summary Disposition va (2020-1583718573823).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT JUAN ESCOBIO (CRD No. 703813), Respondent. Disciplinary Proceeding No. 2018059545201 Hearing Officer-DDM HEARING PANEL DECISION GRANTING MOTION FOR SUMMARY DISPOSITION February 5, 2020 Robert Juan Escobio failed to comply with multiple Rule 8210 requests for documents and information and on-the-record testimony. For this misconduct,

2017056627402 FIMCO Securities Group, Inc. CRD 30343 AWC va (2020-1583723965258).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056627402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: FIMCO Securities Group, Inc. Member Firm BD No. 30343 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent FIMCO Securities Group, Inc. ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2019061378001 John Martin Harman CRD 4763429 AWC sl (2020-1583723965144).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061378001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Martin Harman, Respondent Former General Securities Representative CRD No. 4763429 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John Martin Harman submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.