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.
17-01077(5).pdf
order to confirm
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.