2021071098801 Maurice L. Naylon III CRD 831841 AWC vr (2023-1690590003649).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071098801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Maurice L. Naylon III (Respondent)
General Securities Representative
CRD No. 831841
Pursuant to FINRA Rule 9216, Respondent Maurice L. Naylon, III (Naylon) submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022076195901 Roger Almeida CRD 7083841 AWC vr (2023-1690590008727).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076195901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Rogerio Almeida (Respondent)
Former General Securities Representative
CRD No. 7083841
Pursuant to FINRA Rule 9216, Respondent Rogerio Almeida submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
22-02129(2).pdf
motion to vacate
