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.