2022074198401 Kathleen A. Johansen CRD 4408545 AWC lp (2023-1680394801490).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074198401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kathleen A. Johansen (Respondent) Former Associated Person CRD No. 4408545 Pursuant to FINRA Rule 9216, Respondent Kathleen A. Johansen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2023-003

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to amend FINRA rules to address duplicative requirements.

2017056516801 Lighthouse Capital Group, LLC CRD 169135 AWC lmp (2023-1680308410491).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056516801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lighthouse Capital Group, LLC (Respondent) Member Firm CRD No. 169135 Pursuant to FINRA Rule 9216, Respondent Lighthouse 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.
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