2021072685301 Michael Scott Desando CRD 1849321 AWC gg (2022-1663806008825).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WANER, AND CONSENT NO. 2021072685301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Scott Desando (Respondent) General Securities Representative CRD No. 1849321 Pursuant to FINRA Rule 9216, Respondent Michael Scott Desando submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Janice LaGesse Comment On Regulatory Notice 22-08

Public investments should be available to all of the public not just the privileged. You shouldn't have to go through any special process like passing a test before you can invest in public securities. Everyone knows there is a risk with investments. We don't need these measures imposed on us. Please realize people need to do what is best for them without laws imposing upon our rights.

2019060645001 Efthimios George Petrou CRD 2672840 AWC lp (2022-1663548604561).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060645001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Efthimios George Petrou (Respondent) Former General Securities Representative and General Securities Principal CRD No. 2672840 Pursuant to FINRA Rule 9216, Respondent Efthimios George Petrou submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to