2020066841402 Kyle Luebeck CRD 5931863 AWC lp (2022-1664497210627).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066841402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kyle Luebeck (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5931863 Pursuant to FINRA Rule 9216, Respondent Kyle Luebeck submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022074899601 Doug Marshall McKelvey CRD 4502849 AWC va (2022-1664497210412).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074899601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Doug Marshall McKelvey (Respondent) General Securities Representative (GS) CRD No. 4502849 Pursuant to FINRA Rule 9216, Respondent Doug Marshall McKelvey 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 22-20

Summary

The NAC has revised FINRA’s Sanction Guidelines, which guide FINRA adjudicators in developing remedial sanctions for violations of the securities rules. These revisions were based on a review to ensure that the guidelines accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings. The revisions tailor sanctions to differentiate between types of respondents and modify the Sanction Guidelines in the following ways:

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