2021073064901 Heather S. Skipper CRD 2126799 AWC lp (2022-1669335612343).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021073064901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Heather S. Skipper (Respondent)
Former General Securities Representative
CRD No. 2126799
Pursuant to FINRA Rule 9216, Respondent Heather S. Skipper (Skipper) submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021073484401 Deborah Alonso CRD 7376473 AWC gg (2022-1669335612608).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021073484401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Deborah Alonso (Respondent)
Former Non-Registered Fingerprint Person
CRD No. 7376473
Pursuant to FINRA Rule 9216, Respondent Deborah Alonso submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020065354801 Robert Louis Takacs CRD 2954611 AWC lp (2022-1669249207023).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO.2020065354801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert Louis Takacs (Respondent)
General Securities Representative
CRD No. 2954611
Pursuant to FINRA Rule 9216, Respondent Robert Louis Takacs submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.