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2017054548001 KEVIN J. MURPHY CRD 1645347 Order jm (2019-1576714779595).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN J. MURPHY (CRD No. 1645347), Respondent. DISCIPLINARY PROCEEDING NO. 2017054548001 Hearing Officer-DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 15, 2019 INTRODUCTION Disciplinary Proceeding No. 2017054548001 was filed on September 16, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Kevin J. Murphy submitted an Offer

2017056673501 Julie Ann Mineard CRD 3230787 AWC jm (2019-1576714779871).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056673501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Julie Ann Mineard, Respondent General Securities Representative CRD No. 3230787 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Julie Ann Mineard ("Mineard" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2018060118401 James Joseph Kearney CRD 265734 AWC va (2019-1576455582399).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060118401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Joseph Kearney, Respondent Former General Securities Representative CRD No. 265734 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, James Joseph Kearney ("Kearney" 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.