2018059121201 E1 Asset Management, Inc. CRD 46872_Ron Itin, CRD 2344151 AWC gg (2022-1668730807546).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018059121201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: E1 Asset Management, Inc. (Respondent)
Member Firm
CRD No. 46872
Ron Y. Itin (Respondent)
General Securities Principal
CRD No. 2344151
Pursuant to FINRA Rule 9216, Respondents E1 Asset Management, Inc. and Ron Y. Itin submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2021072096101 Robert Shane Sevcik CRD 5597558 AWC va (2022-1668730807361).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072096101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert Shane Sevcik (Respondent)
General Securities Representative
CRD No. 5597558
Pursuant to FINRA Rule 9216, Respondent Robert Shane Sevcik submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019060645002 Mitchell Scott Biernick CRD 2690172 AWC lp (2022-1668730807487).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019060645002
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Mitchell Scott Biernick (Respondent)
Former General Securities Representative, General Securities Principal, and Registered Options Principal
CRD No. 2690172
Pursuant to FINRA Rule 9216, Respondent Mitchell Scott Biernick submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2017052760001 Nancy Kimball Mellon CRD 1253484 NAC sl (2022-1668730807388).pdf
BEFORE THE NATIONAL ADJUDICATORY COUNCIL
FINANCIAL INDUSTRY REGULATORY AUTHORITY
In the Matter of Department of Enforcement, Complainant,
vs.
Nancy Kimball Mellon, Tampa, FL, Respondent.
DECISION
Complaint No. 2017052760001
Dated: October 18, 2022
Respondent converted funds from her firm, filed false expense reports that caused her firm to maintain inaccurate books and records, failed to respond truthfully to FINRA’s requests for information and documents. Held, findings and sanctions affirmed.