2023078596901 James C. Etter CRD 5576744 AWC lp (2024-1734049203742).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078596901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James C. Etter (Respondent) Former General Securities Representative CRD No. 5576744 Pursuant to FINRA Rule 9216, Respondent James C. Etter submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2024-019

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust FINRA fees to provide sustainable funding for FINRA’s regulatory mission.  

2018056490320 Bryan J. Moskowitz CRD 6063246 AWC gg (2024-1733962804573).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2018056490320 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan J. Moskowitz (Respondent) General Securities Representative CRD No. 6063246 Pursuant to FINRA Rule 9216, Respondent Bryan J. Moskowitz submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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