2021071665401 Suzanne Therese Charrin CRD 4487222 AWC gg (2023-1676593222914).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071665401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Suzanne Therese Charrin (Respondent)
Former General Securities Representative
CRD No. 4487222
Pursuant to FINRA Rule 9216, Respondent Suzanne Therese Charrin submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020067160501 Electronic Transaction Clearing, Inc. CRD 146122 AWC gg (2023-1676247597456).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067160501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Electronic Transaction Clearing, Inc. (Respondent)
Member Firm
CRD No. 146122
Pursuant to FINRA Rule 9216, Respondent Electronic Transaction Clearing, Inc. (ETC) submits
this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement
of the alleged rule violations described below.
2021071932301 Nomura Securities International, Inc. CRD 4297 AWC lp (2023-1676247599239).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071932301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Nomura Securities International, Inc. (Respondent)
Member Firm
CRDNo. 4297
Pursuant to FINRA Rule 9216, Respondent Nomura Securities International, Inc. (Nomura)
submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a
settlement of the alleged rule violations described below.