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2021072277201 Jeffrey Ernest Marburger CRD 2872490 AWC gg (2022-1655511623407).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072277201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Ernest Marburger (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2872490 Pursuant to FINRA Rule 9216, Respondent Jeffrey Ernest Marburger submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065241801 William T. Hobdy CRD 7280004 AWC gg (2022-1655511622430).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065241801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William T. Hobdy (Respondent) Former Securities Trader CRD No. 7280004 Pursuant to FINRA Rule 9216, Respondent William Thomas Hobdy submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.