2022073651801 Lincoln Lucas Mason CRD 7057393 AWC lp (2024-1708129198755).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073651801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Lincoln Lucas Mason (Respondent)
Former General Securities Representative
CRD No. 7057393
Pursuant to FINRA Rule 9216, Respondent Lincoln Lucas Mason submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2024 FINRA Annual Regulatory Oversight Report
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2024 FINRA Annual Regulatory Oversight Report Now Live
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Coming Soon: 2024 FINRA Annual Regulatory Oversight Report
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Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.
2019062479102 Brad C. Brooks CRD 1584633 AWC gg (2024-1708042797946).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, \VAIVER, AND CONSENT
NO. 2019062479102
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Brad C. Brooks (Respondent)
Former General Securities Representative and General Securities Principal
CRD No. 1584633
Pursuant to FINRA Rule 9216, Respondent Brad C. Brooks submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.