2022077314501 James P. Pelletiere CRD 2628708 AWC gg (2023-1699057205082).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077314501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James P. Pelletiere (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2628708 Pursuant to FINRA Rule 9216, Respondent James P. Pelletiere (Pelletiere) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Omer Meisel

Omer Meisel leads FINRA’s National Cause and Financial Crimes Detections Program (NCFC), which includes the National Cause Program (NCP) and Complex Investigations and Intelligence (CII). Mr. Meisel leads teams that conduct investigations and examinations of firms and gather intelligence to detect financial crimes and inform FINRA and firms of emerging threats and risks to the financial industry.

2023078907901 Vivek Tangudu CRD 7429841 AWC lp (2023-1699057205058).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078907901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vivek Tangudu (Respondent) Former Associated Person CRD No. 7429841 Pursuant to FINRA Rule 9216, Respondent Vivek Tangudu submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068391501 Ravid Gold CRD 6314469 AWC (2023-1698970813872).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068391501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ravid Gold (Respondent) Former General Securities Principal CRD No. 6314469 Pursuant to FINRA Rule 9216, Respondent Ravid Gold 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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