2022075368501 Bruce A. Rathcamp CRD 1358696 AWC lp (2024-1709338803241).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075368501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Bruce A. Rathkamp (Respondent)
General Securities Representative
CRD No. 1358696
Pursuant to FINRA Rule 9216, Respondent Bruce A. Rathkamp submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022074772401 Willie J. Rosser, Sr. CRD 6139449 AWC vr (2024-1709252392793).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074772401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Willie J. Rosser, Sr. (Respondent)
Former General Securities Representative
CRD No. 6139449
Pursuant to FINRA Rule 9216, Respondent Willie J. Rosser, Sr. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.