2021072708801 Dennis David Karjala CRD 5918770 AWC va (2022-1669249207149).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072708801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Dennis David Karjala (Respondent)
Former General Securities Representative
CRD No. 5918770
Pursuant to FINRA Rule 9216, Respondent Dennis David Karjala submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019063673101 BNP Paribas Securities Corp. CRD 15794 AWC va (2022-1669249207281).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063673101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: BNP Paribas Securities Corp. (Respondent)
Member Firm
CRD No. 15794
Pursuant to FINRA Rule 9216, Respondent BNP Paribas Securities Corp. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Antonio Ramirez Comment On Regulatory Notice 22-08
Regulations should be met not enforced, we should be able to invest freely and should not through rigorous processes nor have restrictions, its unconstitutional. At some point in your life you were all in our shoes, if not put yourself in them.