2018060896301 Purshe Kaplan Sterling Investments, Inc. CRD 35747 AWC lp (2024-1705709992020).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018060896301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Purshe Kaplan Sterling Investments, Inc. (Respondent)
Member Finn
CRD No. 35747
Pursuant to FINRA Rule 9216, Respondent Purshe Kaplan Sterling Investments, Inc. (PKS)
submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a
settlement of the alleged rule violations described below.
2022075617701 Cladius O. Tokunboh CRD 6058294 AWC gg (2024-1705709992018).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075617701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Cladius O. Tokunboh (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 6058294
Pursuant to FINRA Rule 9216, Respondent Cladius O. Tokunboh submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023080246601 John Petrone CRD 5634972 AWC gg (2024-1705709992024).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023080246601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FI NRA)
RE: John Petrone (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 5634972
Pursuant to FINRA Rule 9216, Respondent John Petrone submits this Letter of Acceptance ,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023080053501 Louis Peter Goff CRD 4882759 AWC gg (2024-1705709996635).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023080053501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Louis Peter Goff (Respondent)
Former General Securities Representative
CRD No. 4882759
Pursuant to FINRA Rule 9216, Respondent Louis Peter Goff submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2023079333101 Todd R. Anderson CRD 1896352 AWC vr (2024-1705709992025).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079333101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Todd R. Anderson (Respondent)
Former General Securities Representative
CRD No. 1896352
Pursuant to FINRA Rule 9216, Respondent Todd R. Anderson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
