2019064715701 Richard A. Hogan CRD 1754577 AWC gg (2022-1661473224417).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064715701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard A. Hogan (Respondent) Former General Securities Principal and General Securities Representative CRD No. 1754577 Pursuant to FINRA Rule 9216, Respondent Richard A. Hogan, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071060902 Gregory Scott Hanshew 2624600 OHO Decision sl (2022-1661473224403).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GREGORY SCOTT HANSHEW (CRD No. 2624600), Respondent. Disciplinary Proceeding No. 2021071060902 Hearing Officer—BEK DEFAULT DECISION July 25, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents to FINRA staff, in violation of FINRA Rules 8210 and 2010.

Registration Systems Training

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

Registration Systems Training

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

Registration Systems Training

Description: Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

Registration Systems Training

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

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