2017054852001 Blaylock Van, LLC CRD 145317 AWC va (2023-1675470007065).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054852001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Blaylock Van, LLC (Respondent) Member Firm CRD No. 145317 Pursuant to FINRA Rule 9216, Respondent Blaylock Van, LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Michael Solomon

As the head of FINRA’s National Examination Program, Michael Solomon oversees a team of approximately 750 examiners and managers who complete more than 1,000 sales practice and financial exams annually. He also leads the Membership Application Program and the Statutory Disqualification Program.

Mr. Solomon is responsible for overseeing all aspects of the Examinations program, including strategic direction and execution of the program, operations, continuous improvement, and cultivation of key internal and external relationships.

2020068533001 Joel Christopher Riedel CRD 2788408 AWC gg (2023-1675383608338).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2020068533001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joel Christopher Riedel (Respondent) Former General Securities Representative CRD No. 2788408 Pursuant to FINRA Rule 9216, Respondent Joel Christopher Riedel 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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