2023078843001 Stephen LaGreca CRD 7569671 AWC lp (2023-1703809192436).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078843001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Stephen LaGreca (Respondent)
Former Non-Registered Associated Person
CRD No. 7569671
Pursuant to FINRA Rule 9216, Respondent Stephen LaGreca submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019064746402 Allied Millennial Partners, LLC CRD 16569 AWC lp (2023-1703809192442).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064746402
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Allied Millennial Partners, LLC (Respondent)
Member Firm
CRD No. 16569
Pursuant to FINRA Rule 9216, Respondent Allied Millennial Partners, LLC submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023078268801 Kerry L. Broderick CRD 7344563 AWC lp (2023-1703809192400).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078268801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kerry L. Broderick (Respondent)
General Securities Representative
CRD No. 7344563
Pursuant to FINRA Rule 9216, Respondent Kerry L. Broderick submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022074939302 Jake Louis Fruge CRD 6187396 AWC lp (2023-1703809192420).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074939302
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jake Louis Fruge (Respondent)
Former Investment Company and Variable Contracts Products Representative and
Former Investment Company Products/Variable Contracts Principal
CRD No. 6187396
Pursuant to FINRA Rule 9216, Respondent Jake Louis Fruge 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-2023-017
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to shorten the standard settlement cycle for most broker-dealer transactions.
2022074939301 Ian James Prukner CRD 5288581 AWC lp (2023-1703809192746).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074939301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Ian James Prukner (Respondent)
Former Investment Company and Variable Contracts Products Representative and
Former Investment Company Products/Variable Contracts Principal
CRD No. 5288581
Pursuant to FINRA Rule 9216, Respondent Ian James Prukner submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022074939303 Melton Weaver III CRD 5422319 AWC lp (2023-1703809192582).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074939303
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Melton Weaver III (Respondent)
Former Investment Company and Variable Contracts Products Representative and
Former Investment Company Products/Variable Contracts Principal
CRD No. 5422319
Pursuant to FINRA Rule 9216, Respondent Melton Weaver III submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.