2021070378301 Dominic Carlo CRD 2731304 AWC gg (2023-1691367607705).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, \VAIVER, AND CONSENT NO. 2021070378301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dominic Carlo (Respondent) General Securities Representative CRD No. 2731304 Pursuant to FINRA Rule 9216, Respondent Dominic Carlo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072184901 Timothy R. Bush CRD 3276071 AWC gg (2023-1691367607704).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072184901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy R. Bush (Respondent) Former General Securities Representative CRD No. 3276071 Pursuant to FINRA Rule 9216, Respondent Timothy R. Bush submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINRA Expels Monmouth Capital Management

Firm Violated Reg BI, Excessively Traded, and Churned Numerous Customer Accounts, Including Those of Gold Star Families

WASHINGTON—FINRA announced today that it has expelled Monmouth Capital Management for churning and excessively trading customer accounts in violation of Regulation Best Interest (Reg BI), failing to supervise its representatives, and providing false and misleading disclosures to retail customers on its client relationship summary (Form CRS).

2022074603801 Helen Grace Caldwell CRD 1957501 AWC vr (2023-1691281204445).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074603801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Helen Grace Caldwell (Respondent) Former General Securities Representative CRD No. 1957501 Pursuant to FINRA Rule 9216, Respondent Helen Grace Caldwell submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075848601 Ronald J. Sagasser CRD 5400879 AWC vr (2023-1691281204337).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075848601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald J. Sagasser (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5400879 Pursuant to FINRA Rule 9216, Respondent Ronald J. Sagasser 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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