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2020068820401 Jeffrey L. Prince CRD 2428655 AWC lp (2023-1682036416083).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068820401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey L. Prince (Respondent) General Securities Representative CRD No. 2428655 Pursuant to FINRA Rule 9216, Respondent Jeffrey L. Prince submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Demetrios Koutros

Demetrios (“J”) Koutros is Senior Vice President of Member Supervision’s Operations, Procedures, and Standards group. Mr. Koutros has been integral to the operation and execution of the Risk Monitoring and Examinations regulatory programs since joining FINRA in 2005. In his current role, Mr.

2022074278301 BrokerBank Securities, Inc. CRD 130116 and Philip Paul Wright CRD 2453688 Complaint geg (2023-1681950014151).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. BrokerBank Securities, Inc. CRD No. 130116, And Philip Paul Wright, CRD No. 2453688, Respondents. Disciplinary Proceeding No. 2022074278301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 10, 2017 and October 28, 2019, Respondent BrokerBank Securities, Inc.

2020066887202 Derek John Rehill CRD 2935032 AWC va (2023-1681950014147).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066887202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Derek John Rehill (Respondent) General Securities Principal and General Securities Representative CRD No. 2935032 Pursuant to FINRA Rule 9216, Respondent Derek John Rehill 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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