2019060645801 Richard L. Langer CRD 2457028 AWC va (2022-1672532397878).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060645801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard L. Langer (Respondent) General Securities Representative and Registered Options Representative CRD No. 2457028 Pursuant to FINRA Rule 9216, Respondent Richard L. Langer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075674601 Amy M. Greenberg CRD 2110985 AWC lp (2022-1672446006761).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075674601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Amy M. Greenberg (Respondent) Former General Securities Representative CRD No. 2110985 Pursuant to FINRA Rule 9216, Respondent Amy M. Greenberg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Heather Seidel

Heather Seidel is Chief Counsel in the Office of Regulatory Economics and Market Analysis. In this capacity, Ms. Seidel serves as a member of the leadership team, advising on policy formation and providing expert interpretative guidance on regulatory, policy and legal matters.

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