2016051156903 Janney Montgomery Scott, LLC CRD 463 AWC geg (2022-1668817213160).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2016051156903
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Janney Montgomery Scott LLC (Respondent)
Member Firm
CRD No. 463
Pursuant to FINRA Rule 9216, Respondent Janney Montgomery Scott LLC submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019061442701 Richard M. Blosser CRD 1676712 AWC lp (2022-1668817212464).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061442701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Richard M. Blosser (Respondent)
Former General Securities Representative
CRD No. 1676712
Pursuant to FINRA Rule 9216, Respondent Richard M. Blosser submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Special Notice – 10/21/22
*In response to requests for an extension, the comment period has been extended to February 21, 2023.