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2023078559701 Theodore William Byrer CRD 2980696 AWC ks.pdf

Between June 2020 and November 2022, Byrer engaged in multiple violations related to options trading recommendations and account handling. He recommended an options trading strategy to at least four customers that was not in their best interest, willfully violating the best interest obligation under Securities Exchange Act of 1934 Rule 15l- 1(a)(1) and FINRA Rules 2360(b)(19)(A) and 2010.