2020065621901 Yann C. Faho CRD 5397543 AWC gg (2024-1705278003695).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065621901
TO: Department of Enforcement
Financial Industry Regulatory Auth01ity (FINRA)
RE: Yann C. Faho (Respondent)
Former General Securities Representative
CRD No. 5397543
Pursuant to FINRA Rule 9216, Respondent Yann C. Faho submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2021069362101 RCM Securities CRD 15548 AWC gg (2024-1705278003718).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069362101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: RCM Securities (Respondent)
Member Firm
CRD No. 15548
Pursuant to FINRA Rule 9216, Respondent RCM Securities submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022076782101 Kevin R. Barry CRD 6671667 AWC gg (2024-1705278003682).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076782101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kevin R. Barry (Respondent)
Former General Securities Representative
CRD No. 6671667
Pursuant to FINRA Rule 9216, Respondent Kevin R. Barry submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
