2022076684401 John Nicholas Matson CRD 1796541 AWC gg (2023-1674087612562).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076684401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John Nicholas Matson
Former General Securities Representative
CRD No. 1796541
Pursuant to FINRA Rule 9216, Respondent John Nicholas Matson (Matson) submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022075871401 Ching Yuan “Gary” Chang CRD 2922898 AWC gg (2023-1674087613158).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075871401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Ching Yuan “Gary” Chang (Respondent)
Former General Securities Representative
CRD No. 2922898
Pursuant to FINRA Rule 9216, Respondent Ching Yuan “Gary” Chang submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Registration Systems Foundation Training
Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.
Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.
Registration Systems Foundation Training
Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.
Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.