2017056146401 Robert D. Meyers CRD 1409245 AWC va (2019-1574554787218).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056146401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert D. Meyers, Respondent General Securities Representative CRD No. 1409245 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert D. Meyers submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
2016051105201 BNP Paribas Securities Corp. CRD 15794 BNP Paribas Prime Brokerage, Inc. CRD 24962 AWC va (2019-1574554785629).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051105201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Member Firm BD No. 15794 BNP Paribas Prime Brokerage, Inc., Respondent Member Firm BD No. 24962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents BNP Paribas Securities Corp, and BNP Paribas Prime Brokerage, Inc.