2021071319701 Sean Morgan Storm Boswick CRD 2491980 AWC lp (2023-1677370798945).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071319701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Sean Morgan Storm Boswick (Respondent)
Former General Securities Representative
CRD No. 2491980
Pursuant to FINRA Rule 9216, Respondent Sean Morgan Storm Boswick submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022074845701 Daniel Liam Kiely CRD 6963909 AWC lp (2023-1677370798710).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074845701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Daniel Liam Kiely (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 6963909
Pursuant to FINRA Rule 9216, Respondent Daniel Liam Kiely 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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