2020066723301 Teresa Douberly CRD 2477566 AWC lp (2022-1669422011365).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066723301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Teresa Douberly (Respondent)
Former General Securities Principal and General Securities Representative
CRD No. 2477566
Pursuant to FINRA Rule 9216, Respondent Teresa Douberly submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2019063821608 Nigel Ronald James CRD 4490687 AWC va (2022-1669422011760).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063821608
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Nigel Ronald James (Respondent)
General Securities Representative
CRD No. 4490687
Pursuant to FINRA Rule 9216, Respondent Nigel Ronald James submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.