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2018060848101 Andrew Fairchild CRD 1959274 AWC sl (2020-1578529173663).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060848101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Fairchild, Respondent General Securities Representative CRD No. 1959274 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Andrew Fairchild submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violation described below.

2017053462401 Robert Henderson CRD 1160413 Complaint va (2020-1578269979304).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT HENDERSON (CRD No. 1160413), Respondent. DISCIPLINARY PROCEEDING No. 2017053462401 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Between December 17, 2010 and October 4, 2018, Respondent Robert Henderson

2018060216701 Bryce Patrick Jenney CRD 6207379 Complaint va (2020-1578269979066).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bryce Patrick Jenney CRD No. 6207379, Respondent. Disciplinary Proceeding No. 2018060216701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Bryce Patrick Jenney ("Respondent" or "Jenney") failed to provide

2016051813401 KGS-Alpha Capital Markets, L.P., nka BMO Capital Markets Corp. CRD 151705 AWC jlg (2020-1578269978826).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051813401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: KGS-Alpha Capital Markets, L.P., n/k/a BMO Capital Markets Corp., Respondent Broker-Dealer CRD No. 151705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent KGS-Alpha Capital Markets, L.P. ("KGS-Alpha" or the "Firm"), n/k/a BMO Capital Markets Corp.