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2023079748501 Maureen O'Donnell CRD 1896357 AWC lp (2024-1707351599683).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079748501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maureen O’Donnell (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1896357 Pursuant to FINRA Rule 9216, Respondent Maureen O’Donnell submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023079725901 Joseph Duffy Collins CRD 7153386 AWC lp (2024-1707351594928).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079725901 TO: Department of Enforcement Financial Industry Regulatory Authority (F[NRA) RE: Joseph Duffy Collins (Respondent) General Securities Representative CRD No. 7153386 Pursuant to FINRA Rule 9216, Respondent Joseph Duffy Collins submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted.

2023079728201 Michael L. Esposito CRD 6506773 AWC lp (2024-1707351594931).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079728201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael L. Esposito (Respondent) General Securities Representative CRD No. 6506773 Pursuant to FINRA Rule 9216, Respondent Michael L. Esposito submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023079740401 Tara Nesdill CRD 5510849 AWC lp (2024-1707351594941).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079740401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tara A. Nesdill (Respondent) Associated Person CRD No. 5510849 Pursuant to FINRA Rule 9216, Respondent Tara A. Nesdill submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.