2019061691601 Robert C. Mehlin Jr. CRD 736694 AWC gg (2022-1662164418852).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061691601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert C. Mehlin, Jr. (Respondent) General Securities Representative CRD No. 736694 Pursuant to FINRA Rule 9216, Respondent Robert C. Mehlin, Jr.

2018059551601 Network 1 Financial Securities Inc. CRD 13577 AWC gg (2022-1662078021970).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059551601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Network 1 Financial Securities Inc. (Respondent) Member Firm CRD No. 13577 Pursuant to FINRA Rule 9216, Respondent Network 1 Financial Securities Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068770301 Mark L. Guarino CRD 1307977 AWC gg (2022-1662078022108).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068770301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark L. Guarino, III (Respondent) General Securities Representative CRD No. 1307977 Pursuant to FINRA Rule 9216, Respondent Mark L. Guarino, III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064698601 Timothy Jay Fazzone CRD 1610976 AWC gg (2022-1662078021759).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064698601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Jay Fazzone (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1610976 Pursuant to FINRA Rule 9216, Respondent Timothy Jay Fazzone submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 22-18

Summary

FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases signatures of colleagues or supervisors, through third-party digital signature platforms. Firms have, for example, identified signature issues involving a wide range of forms, including account opening documents and updates, account activity letters, discretionary trading authorizations, wire instructions and internal firm documents related to the review of customer transactions.

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