| FINRA.org

2020068283601 Denise S. Sobczak CRD 3078128 AWC lp (2022-1657930818427).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068283601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Denise S. Sobczak (Respondent) General Securities Representative CRD No. 3078128 Pursuant to FINRA Rule 9216, Respondent Denise S. Sobczak submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

20-04116.pdf

Report of the 2009 Special Review Committee on FINRA’s Examination Program in Light of the Stanford and Madoff Schemes

John Travis Comment On Regulatory Notice 22-08

Restricting the trading of leveraged products will only further distance and favor the already significant institutional edge in the markets over retail investors.

2020068693101 Victor Morales CRD 6552148 AWC lp (2022-1657930818378).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068693101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Victor A. Morales (Respondent) Former General Securities Representative CRD No. 6552148 Pursuant to FINRA Rule 9216, Respondent Victor A. Morales submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.