2018057298701 Donnie E. Ingram CRD 1416971 and Centaurus Financial, Inc. CRD 30833 Complaint gg (2022-1666916414002).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Donnie E. Ingram CRD No. 1416971, and Centaurus Financial, Inc. CRD No. 30833, Respondents. Disciplinary Proceeding No. 2018057298701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between September 2016 and September 2018, respondent Donnie E. Ingram, a registered representative with respondent Centaurus Financial, Inc.

2018058892501 Garden State Securities, Inc. CRD 10083 AWC lp (2022-1666916413307).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058892501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Garden State Securities, Inc. (Respondent) Member Firm CRD No. 10083 Pursuant to FINRA Rule 9216, Respondent Garden State 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.

2019061872201 Wedbush Securities, Inc. CRD 877 AWC lp (2022-1666916413754).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061872201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wedbush Securities, Inc. (Respondent) Member Firm CRD No. 877 Pursuant to FINRA Rule 9216, Respondent Wedbush 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.

2018057298702 Michael G. Seymour CRD 1597042 AWC lp (2022-1666916413826).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057298702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael G. Seymour (Respondent) General Securities Principal CRD No. 1597042 Pursuant to FINRA Rule 9216, Respondent Michael G. Seymour submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

AML Red Flags and Fraud

This course focuses on recognizing anti-money laundering (AML) red flags and other areas of concern in relation to customer account opening and suspicious activity in customer accounts. It also provides guidance on escalating issues to avoid the consequences of fraud and AML violations.

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