2017054755206 Daniel G. Maughan CRD 2561363 Order Accepting Offer of Settlement va (2019-1573777199923).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL G. MAUGHAN CRD No. 2561363, Respondent. Disciplinary Proceeding No. 2017054755206 Hearing Officer-RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 15, 2019 INTRODUCTION Disciplinary Proceeding No. 2017054755206 was filed on August 14, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Maughan submitted an Offer of Settlement (Offer) to Complainant
2016049448301 Apex Clearing Corporation CRD 13071 AWC va (2019-1573777189509).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160494483-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Apex Clearing Corporation, Respondent Member Firm CRD No. 13071 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Apex Clearing Corporation ("Apex" or the "firm") 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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