2020067052701 Gregory Andrews, CRD 5858207 AWC gg (2022-1659054023086).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067052701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Gregory Andrews (Respondent)
Former Investment Banking Representative
CRD No. 5858207
Pursuant to FINRA Rule 9216, Respondent Gregory Andrews submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2019061974501 Paul Charles DeMark CRD 1400019 AWC gg (2022-1659054023245).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061974501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Paul Charles DeMark (Respondent)
General Securities Representative
CRD No. 1400019
Pursuant to FINRA Rule 9216, Respondent Paul Charles DeMark submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
13-01035(3).pdf
order to confirm