Government Shutdown Information

2022076767001 Lucas R. Hales CRD 6258497 AWC vr (2024-1708215597802).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076767001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lucas R. Hales (Respondent) Former Operations Professional and General Securities Representative CRD No. 6258497 Pursuant to FINRA Rule 9216, Respondent Lucas R. Hales submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063365401 RCX Capital Group, LLC CRD 114290 AWC gg (2024-1708129199476).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063365401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RCX Capital Group, LLC (Respondent) Member Firm CRD No. 114290 Pursuant to FINRA Rule 9216, Respondent RCX Capital Group, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078112801 Rajen Duggal CRD 6505933 AWC vr (2024-1708129198702).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078112801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rajen Duggal (Respondent) Former General Securities Representative CRD No. 6505933 Pursuant to FINRA Rule 9216, Respondent Rajen Duggal submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076480401 Vision Financial Markets LLC CRD 142271 AWC vr (2024-1708129198763).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076480401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vision Financial Markets LLC (Respondent) Member Firm CRD No. 142271 Pursuant to FINRA Rule 9216, Respondent Vision Financial Markets LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022073651801 Lincoln Lucas Mason CRD 7057393 AWC lp (2024-1708129198755).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073651801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lincoln Lucas Mason (Respondent) Former General Securities Representative CRD No. 7057393 Pursuant to FINRA Rule 9216, Respondent Lincoln Lucas Mason submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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