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2019061205201 Martin David Batstone CRD 2171601 Order Accepting Offer of Settlement va (2020-1584663567620).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Martin David Batstone CRD No. 2171601 Respondent. Disciplinary Proceeding No. 2019061205201 Hearing Officer-RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 18, 2020 INTRODUCTION Disciplinary Proceeding No. 2019061205201 was filed on October 1, 2019, by the

2017053704501 Wedbush Securities, Inc. CRD 877 AWC va (2020-1584663567805).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053704501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wedbush Securities, Inc., Respondent Member Firm CRD No. 877 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Wedbush Securities, Inc. ("Wedbush" 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.

2018058148801 Thomas M. Murphy CRD 5654189 AWC va (2020-1584663567352).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058148801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas M. Murphy, Respondent Former General Securities Representative CRD No. 5654189 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas M. Murphy submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.