2018060520901 SpeedRoute LLC CRD 104138 AWC gg (2023-1683246001403).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2018060520901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: SpeedRoute LLC (Respondent)
Member Firm
CRD No. 104138
Pursuant to FINRA Rule 9216, Respondent SpeedRoute LLC submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2018059146501 Goldman Sachs & Co. LLC CRD 361 AWC lp (2023-1683246001785).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018059146501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Goldman Sachs & Co. LLC (Respondent)
Member Firm
CRD No. 361
Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022074961401 Larry Eugene Norton CRD No. 1765551 AWC geg (2023-1683159614712).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074961401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Larry Eugene Norton (Respondent)
Investment Company and Variable Contracts Products Representative; Investment
Company Products/Variable Contracts Principal
CRD No. 1765551
Pursuant to FINRA Rule 9216, Respondent Larry Eugene Norton (Norton) submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.