2021069375301 Roman Meyerhans CRD 4587943 AWC va (2023-1682641209753).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069375301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roman Meyerhans (Respondent) General Securities Representative CRD No. 4587943 Pursuant to FINRA Rule 9216, Respondent Roman Meyerhans submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 23-06

Summary

To bring attention to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), FINRA issued Regulatory Notice 22-21, which alerted member firms about how bad actors effect fraudulent transfers of customer assets using ACATS (referred to as ACATS fraud). That Notice listed several existing regulatory obligations that may apply in connection with ACATS fraud and provided contact information for reporting the fraud.

2019061764901 Newbridge Securities Corporation CRD 104065 AWC lp (2023-1682554808154).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061764901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Newbridge Securities Corporation, Respondent Member Firm CRD No. 104065 Pursuant to FINRA Rule 9216, Respondent Newbridge Securities Corporation (Newbridge) 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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