2020065277801 William O’Neil Securities CRD 894 AWC gg (2023-1686532807534).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065277801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: William O’Neil Securities (Respondent)
Member Firm
CRD No. 894
Pursuant to FINRA Rule 9216, Respondent William O’Neil Securities submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2020065599101 SW Financial CRD 145012 awc vr (2023-1686532807528).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
No. 2020065599101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: SW Financial (Respondent)
Member Firm
CRD No. 145012
Pursuant to FINRA Rule 9216, Respondent SW Financial submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.