2019064776202 Gary Goldberg & Co., LLC (formerly known as Bruderman Brothers LLC) CRD 47957 AWC vr (2023-1683937203664).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064776202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gary Goldberg & Co., LLC, formerly known as Bruderman Brothers LLC (Respondent) Former Member Firm CRD No. 47957 Pursuant to FINRA Rule 9216, Respondent Gary Goldberg & Co., LLC 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-2023-007

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision).

2021071850601 Gordon Scott Wallace CRD 1905279 AWC vr (2023-1683850807200).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071850601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gordon Scott Wallace (Respondent) General Securities Representative CRD No. 1905279 Pursuant to FINRA Rule 9216, Respondent Gordon Scott Wallace 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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