19-03358(2).pdf
motion to vacate
2019064535601 Axiom Capital Management, Inc. CRD 26580 AWC va (2022-1663201210454).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064535601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Axiom Capital Management, Inc. (Respondent)
Member Firm
CRD No. 26580
Pursuant to FINRA Rule 9216, Respondent Axiom Capital Management, Inc. submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019064535602 Mark D. Martino CRD 1010228 AWC va (2022-1663201209699).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064535602
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Mark D. Martino (Respondent)
General Securities Representative and General Securities Principal
CRD No. 1010228
Pursuant to FINRA Rule 9216, Respondent Mark D. Martino submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2019063686202 Jeffrey D. Basford CRD 5077566 AWC va (2022-1663201209766).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063686202
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeffrey D. Basford (Respondent)
General Securities Representative
CRD No. 5077566
Pursuant to FINRA Rule 9216, Respondent Jeffrey D. Basford (Basford) submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
John Laine Comment On Regulatory Notice 22-08
Investors don't need unnecessary interference by big brother regulators in our investment choices. Requiring that clear information be provided is fine, but don't expect adults to go through testing or other restrictions.
2022075677601 Patrick Allen English CRD 5189025 AWC gg (2022-1662942181495).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075677601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Patrick Allen English (Respondent)
Former General Securities Representative
CRD No. 5189025
Pursuant to FINRA Rule 9216, Respondent Patrick Allen English submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.