2022075036001 Richard M. Funderburk CRD 6129027 AWC lp (2023-1689985200469).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075036001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Richard M. Funderburk (Respondent)
Former Not-Registered Fingerprint Person
CRD No. 6129027
Pursuant to FINRA Rule 9216, Respondent Richard M. Funderburk submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2022075569501 Kimberly A. Sittarich CRD 4497728 AWC vr (2023-1689985200466).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075569501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kimberly A. Sittarich (Respondent)
Former Non-Registered Fingerprint Person
CRD No. 4497728
Pursuant to FINRA Rule 9216, Respondent Kimberly A. Sittarich submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019063686205 Abbe Jan Wollins CRD 5237027 AWC gg (2023-1689985200539).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063686205
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Abbe Jan Wollins (Respondent)
Former General Securities Representative
CRD No. 5237027
Pursuant to FINRA Rule 9216, Respondent Abbe Jan Wollins submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2018057457401 Blake Adam Levy CRD 4593636 AWC lp (2023-1689898813181).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018057457401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Blake Adam Levy (Respondent)
Former General Securities Representative
CRD No. 4593636
Pursuant to FINRA Rule 9216, Respondent Blake Adam Levy submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023078823301 Jason K. Adams CRD 2217759 AWC lp (2023-1689898812963).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078823301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jason K. Adams (Respondent)
Former General Securities Representative
CRD No. 2217759
Pursuant to FINRA Rule 9216, Respondent Jason K. Adams submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.