2018060306301 Lillian Degasperis CRD 2363667 AWC va (2020-1589674770710).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060306301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lillian Degasperis, Respondent General Securities Representative CRD No. 2363667 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lillian Degasperis ("Degasperis" 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.
2018060749801 Joseph John Mauro CRD 2046076 AWC sl (2020-1589674770653).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2018060749801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Joseph John Mauro, Respondent
Former Investment Company and Variable Contracts Products Representative
CRD No. 2046076
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Joseph John Mauro submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
