2022075269901 Sukthavy Sisamouthp CRD 6429670 AWC va (2023-1682641209940).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075269901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Sukthavy Sisamouthp (Respondent)
Former Associated Person
CRD No. 6429670
Pursuant to FINRA Rule 9216, Respondent Sukthavy Sisamouthp submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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.