FINRA Rules

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2019061427301 Lori Rood Thompson CRD 2416616 AWC va (2019-1571617198382).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061427301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lori Rood Thompson, Respondent General Securities Representative CRD No. 2416616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lori Rood Thompson submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2018060817701 David C. Vanech CRD 5195259 AWC va (2019-1571617187320).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060817701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David C. Vanech, Respondent CRD No. 5195259 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David C. Vanech ("Vanech") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
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