2018057940801 Cadaret, Grant & Co., Inc. CRD 10641 AWC va (2020-1596241170040).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057940801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cadaret, Grant & Co., Inc., Respondent Member Firm CRD No. 10641 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cadaret, Grant & Co., Inc. ("Cadaret Grant" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

20160510627 3-17734r Keith P Sequeira CRD 3127528 Court of Appeals sl (2020-1596241169738).pdf

UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT No. 19-1997 KEITH P. SEQUEIRA, Petitioner v. SECURITIES & EXCHANGE COMMISSION On Petition for Review of an Order of the Securities and Exchange Commission (Agency No. SEC-1:3-17734r) Submitted Pursuant to Third Circuit LAR 34.1(a) May 11, 2020 Before: AMBRO, GREENAWAY, JR. and PORTER, Circuit Judges (Opinion filed June 11, 2020)

2019060650601 Avanza Capital Markets Inc. CRD 103941 AWC va (2020-1596241171028).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019060650601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Avanza Capital Markets Inc., Respondent Member Firm CRD No. 103941 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Avanza Capital Markets Inc. ("Avanza" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017052466304 Leonard J. Marzocco CRD 3106494 AWC va (2020-1596241170916).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052466304 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Leonard J. Marzocco, Respondent Former General Securities Representative CRD No. 3106494 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Leonard J. Marzocco submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060587401 John G. Kallis CRD 4366410 AWC va (2020-1596241169723).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060587401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John G. Kallis, Respondent Registered Representative CRD No. 4366410 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John G. Kallis submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060836401 Valmark Securities, Inc CRD 31243 AWC sl (2020-1596241169840).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060836401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Valmark Securities, Inc., Respondent Member Firm CRD No. 31243 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Valmark Securities, Inc. submits this Letter of Acceptance, Waiver and Consent (A WC) for the purpose of proposing a settlement of the alleged rule violations described below.
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