2022074311701 StratCap Securities, LLC CRD 151152 AWC vr (2023-1694391608185).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074311701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: StratCap Securities, LLC (Respondent) Member Firm CRD No. 151152 Pursuant to FINRA Rule 9216, Respondent StratCap Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072523701 Kevin Joe Hall CRD 5684384 AWC gg (2023-1694391608193).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072523701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Joe Hall (Respondent) Former General Securities Representative CRD No. 5684384 Pursuant to FINRA Rule 9216, Respondent Kevin Joe Hall 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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