2019062544201 Brian Shevland CRD 4570496 AWC gg (2024-1709511601279).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019062544201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Brian Shevland (Respondent)
General Securities Representative and General Securities Principal
CRD No. 4570496
Pursuant to FINRA Rule 9216, Respondent Brian Shevland submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019061213402 Luke Michael Johnson CRD 3257008 Order Accepting Offer of Settlement lp (2024-1709425196716).pdf
Disciplinary Proceeding
No. 2019061213402
Hearing Officer—LOM
ORDER ACCEPTING OFFER OF SETTLEMENT
Date: February 1, 2024
Department of Enforcement,
Complainant, v.
Luke Michael Johnson
CRD No. 3257008,
Respondent.
INTRODUCTION
Disciplinary Proceeding No. 2019061213402 was filed on July 12, 2023, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Luke Michael Johnson submitted an Offer of Settlement (Offer) to Complainant dated January 30, 2024.