FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian Lawrence Stephan. (CRD No. 4222796) Respondent. Disciplinary Proceeding NO. 2014042022401 Hearing Officer – RES ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2014042022401 was filed on August 17, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Brian Lawrence Stephan

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048551101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Euro Pacific Capital, Inc. (n/k/a A.G.P./Alliance Global Partners Corp.), Respondent Broker-Dealer CRD No. 8361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Euro Pacific Capital, Inc. ("EURP," the "Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057754401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John D. Ernst, Respondent Former Investment Company Products/Variable Contracts Representative CRD No. 1958252 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John D. Ernst, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20170546503-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Milad Tanha, Respondent Registered Representative CRD No. 6022108 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Michael Milad Tanha, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058794401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Patrick Tosha ("Tosha" or "Respondent") General Securities Representative CRD No. 5970854 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052177801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lime Brokerage, LLC, Respondent CRD No. 104369 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lime Brokerage, LLC ("Lime" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055692301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ron Ray Willoughby, Jr., Respondent CRD No. 2425926 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Ron Ray Willoughby, Jr. ("Willoughby" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047215403 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carlos Ricardo Fuenmayor, Respondent Former General Securities Representative and General Securities Principal CRD No. 4055839 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061592601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James F. Anderson, Respondent Registered Representative CRD No. 4803514 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038502101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nomura Securities International, Inc., Respondent Broker-Dealer CRD No. 4297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Nomura Securities International, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of