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3-18350 Meyers Associates, L.P. CRD 34171 - Opinion of the Commission va (2019-1564359575402).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 86193 / June 24, 2019 Admin. Proc. File No. 3-18350 In the Matter of the Application of MEYERS ASSOCIATES, L.P. For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION--REVIEW OF DISCIPLINARY PROCEEDING Former FINRA member firm appeals from FINRA disciplinary proceeding finding that the firm failed to adequately supervise its Chicago office and failed

2018059735201 Fortino R. Rivera CRD 6358600 AWC jm (2019-1567037988115).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059735201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fortino R. Rivera, Respondent General Securities Representative CRD No. 6358600 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Fortino R. Rivera ("Rivera" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

2017054329501 Citigroup Global Markets Inc. CRD 7059 AWC jm (2019-1567037974929).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054329501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc. CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("CGMI," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

2017055914801 Emie Garcia CRD 6329782 AWC jm (2019-1566778782194).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055914801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Emie Garcia, Respondent Former Registered Representative CRD No. 6329782 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

2019061057001 Aaron Williams CRD 6672540 AWC va (2019-1566692389279).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061057001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aaron Williams, Respondent General Securities Representative CRD No. 6672540 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Aaron Williams ("Williams" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

2017056829901 Louis Mark Miller CRD 3054955 OHO Complaint sl (2019-1566778783427).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Louis Mark Miller (CRD No. 3054955), Respondent. Disciplinary Proceeding No. 2017056829901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March 2018, Enforcement initiated an investigation into allegations that Louis Mark Miller (“Miller"), a General Securities Representative with LPL Financial LLC (“LPL" or the “Firm”), a FINRA regulated

2017055021201 Fred Brown CRD 1175385 AWC va (2019-1564100369704).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055021201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fred Brown, Respondent Former Registered Representative CRD No. 1175385 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I Fred Brown ("Brown"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2017053375801 Stephen Michael Whiting CRD 1752042 AWC va (2019-1566692382848).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053375801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Michael Whiting, Respondent CRD No. 1752042 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stephen Michael Whiting ("Whiting" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

2018057561201 Brian Gregory DiJulio CRD 1647694 AWC jm (2019-1566605978210).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057561201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Gregory DiJulio, Respondent General Securities Principal CRD No. 1647694 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brian Gregory DiJulio, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

2017055858301 Larry Michael Crabtree CRD 2479599 AWC va (2019-1564186790330).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055858301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Larry Michael Crabtree, Respondent General Securities Representative CRD No. 2479599 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Larry Michael Crabtree ("Crabtree"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement