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2021071099402 Cullen D. Factor CRD 2569145 AWC lp (2023-1685578804302).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071099402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cullen D. Factor, Respondent Former General Securities Representative and Operations Professional CRD No. 2569145 Pursuant to FINRA Rule 9216, Respondent Cullen D. Factor submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070208701 SprinkleBrokerage, Inc. CRD 258216 and John Alexander Wallin CRD 6000899 AWC gg (2023-1685319603503).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070208701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SprinkleBrokerage, Inc. (Respondent) Member Firm CRD No. 285216 John Alexander Wallin (Respondent) General Securities Principal and General Securities Representative CRD No. 6000899 Pursuant to FINRA Rule 9216, Respondents SprinkleBrokerage, Inc.