2018059045002 Daniel M. Soliman CRD 6053300 AWC va (2019-1564186775383).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059045002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel M. Soliman, Respondent General Securities Representative CRD No. 6053300 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Daniel M. Soliman ("Soliman") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

2018057075001 Mark Gregory Raezer CRD 6439772 AWC jm (2019-1564186791168).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057075001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mark Gregory Raezer, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6439772 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Mark Gregory Raezer ("Raezer") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the

2018058910001 Jeffrey P. Schwebach CRD 1606537 AWC va (2019-1564186791312).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058910001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey P. Schwebach, Respondent Former Registered Representative CRD No. 1606537 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jeffrey P. Schwebach submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2018058362501 Gregory John Lane CRD 1400032 AWC va (2019-1564273180912).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058362501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory John Lane, Respondent General Securities Representative CRD No. 1400032 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I Gregory John Lane ("Lane") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

2018058344301 Axos Clearing LLC, 1 BD 117176 AWC jm (2019-1564273181004).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058344301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Axos Clearing LLC,1 Respondent Member Firm BD No. 117176 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Axos Clearing LLC ("Axos Clearing" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
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