FINRA Correspondence With Next Bridge Hydrocarbons
In the interest of transparency and clarity, FINRA is posting the correspondence between FINRA and Next Bridge Hydrocarbons that began on April 18, 2023.
2022075401701 Howard Rothman CRD 5685224 AWC gg (2023-1693095605092).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075401701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Howard Stuart Rothman (Respondent)
General Securities Representative
CRD No. 5685224
Pursuant to FINRA Rule 9216, Respondent Howard Stuart Rothman submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019063946701 David H. Miller CRD 4648882 AWC gg (2023-1693095605145).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063946701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: David H. Miller (Respondent)
Former General Securities Representative and General Securities Principal
CRD No. 4648882
Pursuant to FINRA Rule 9216, Respondent David H. Miller submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022073783401 James Floyd Garraway CRD 7132872 AWC lp (2023-1693009200592).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073783401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: James Floyd Garraway
Former Investment Company and Variable Contracts Products Representative
CRD No. 7132872
Pursuant to FINRA Rule 9216, Respondent James Floyd Garraway submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.