2019061839001 Whitney Simon CRD 6815971 AWC va (2019-1571271588980).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061839001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Whitney Simon, Respondent Former Associated Person CRD No. 6815971 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Whitney Simon, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2015047127703 J.P. Morgan Securities, LLC CRD 79 AWC jm (2019-1571271587598).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047127703 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.P. Morgan Securities, LLC, Respondent Member Firm CRD No. 79 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

2018057143801 Shirley Anne Weston CRD 1957345 AWC jm (2019-1571271590206).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057143801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Shirley Anne Weston, Respondent General Securities Representative CRD No. 1957345 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Shirley Anne Weston ("Weston" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Subscribe to