2023078455601 Brett Arthur Hartvigson CRD 2263087 AWC gg (2024-1709770799605).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078455601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Brett Arthur Hartvigson (Respondent)
Former General Securities Representative
CRD No. 2263087
Pursuant to FINRA Rule 9216, Respondent Brett Arthur Hartvigson submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
From NCFC to Enforcement Head: Reintroducing Bill St. Louis
FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we are reintroduced to Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.
2021073167202 Timothy William Leveroni CRD 836167 AWC lp (2024-1709511601201).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021073167202
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Timothy William Leveroni (Respondent)
General Securities Principal and Representative
CRD No. 836167
Pursuant to FINRA Rule 9216, Respondent Timothy William Leveroni submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.