2019062948102 James Brett Stuart CRD 3022149 Complaint gg (2023-1701044399872).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement,
Complainant,
v.
James Brett Stuart
CRD No. 3022149, Respondent
Disciplinary Proceeding
No. 2019062948102
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. Between September 2018 and August 2021 (the relevant period), Respondent James Brett Stuart—the Chief Executive Officer (CEO), Chief Compliance Officer (CCO), and majority owner of Richfield Orion International, Inc. (CRD No.
2018060896801 Salvatore Gambino CRD 2846054 AWC gg (2023-1701044399869).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018060896801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Salvatore Gambino (Respondent)
Former General Securities Principal, Former General Securities Representative
CRD No. 2846054
Pursuant to FINRA Rule 9216, Respondent Salvatore Gambino submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022074637301 Nathan Wilks CRD 7291086 AWC lp (2023-1701044405311).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074637301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Nathan Wilks (Respondent)
Former General Securities Representative
CRD No. 7291086
Pursuant to FINRA Rule 9216, Respondent Nathan Wilks submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.