2018058397101 David Quentin Kendrick CRD 4384666 AWC jm (2019-1577060406692).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058397101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Quentin Kendrick, Respondent General Securities Representative CRD No. 4384666 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Quentin Kendrick ("Kendrick" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2018058820101 Dennis Masaaki Nakamura CRD 819626 AWC jm (2019-1577060409081).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058820101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dennis Masaaki Nakamura, Respondent General Securities Representative CRD No. 819626 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dennis Masaaki Nakamura ("Nakamura" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
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