2021070656001 Randell J. Ogden CRD 2019815 AWC lp (2023-1684369209915).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070656001 TO: Department of Enforcement Financial Industry Regulatory Authority (FJNRA) RE: Randell J. Ogden (Respondent) General Securities Representative CRD No. 2019815 Pursuant to FINRA Rule 9216, Respondent Randell J. Ogden submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057188801 Regal Securities, Inc. CRD 7297 AWC vr (2023-1684369209943).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057188801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Regal Securities, Inc. (Respondent) Member Firm CRD No. 7297 Pursuant to FINRA Rule 9216, Respondent Regal Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061442501 RBC Capital Markets, LLC CRD 31194 AWC gg (2023-1684196387561).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061442501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060897301 Steven M. Netzel CRD 2863170 AWC gg (2023-1684196387563).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060897301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven M. Netzel (Respondent) Former General Securities Representative CRD No. 2863170 Pursuant to FINRA Rule 9216, Respondent Steven M. Netzel submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022073282001 The Carney Group, Incorporated CRD 16671 AWC lp (2023-1684113621826).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073282001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Carney Group, Incorporated (Respondent) Member Firm CRD No. 16671 Pursuant to FINRA Rule 9216, Respondent The Carney Group, Incorporated 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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