2022075705601 Jacob Pae CRD 7059044 AWC vr (2023-1703722799313).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075705601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jacob Pae (Respondent)
Former General Securities Representative
CRD No. 7059044
Pursuant to FINRA Rule 9216, Respondent Jacob Pae submits this Letter of Acceptance, Waiver,
and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations
described below.
2021071022201 Cowen and Company CRD 7616 AWC vr (2023-1703722799293).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071022201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Cowen and Company (Respondent)
Member Firm
(CRD No. 7616),
in its own right and as successor-in-interest to
Cowen Prime Services LLC (CRD No.
2021069200301 Michael MacLean CRD 5457640 AWC vr (2023-1703722799277).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069200301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Michael Maclean (Respondent)
General Securities Representative
CRD No. 5457640
Pursuant to FINRA Rule 9216, Respondent Michael MacLean submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2019064801101 TD Private Client Wealth LLC CRD 164484 AWC vr (2023-1703722803693).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064801101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: TD Private Client Wealth LLC (Respondent)
Member Firm
CRD No. 164484
Pursuant to FINRA Rule 9216, Respondent TD Private Client Wealth LLC (TDPCW or the firm)
submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a
settlement of the alleged rule violations described below.
2022076240401 Robert Lee Golding CRD 5324763 AWC lp (2023-1703722799271).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076240401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert Lee Golding (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 5324763
Pursuant to FINRA Rule 9216, Respondent Robert Lee Golding submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019063686207 Ronald Morse CRD 341008 AWC lp (2023-1703722799276).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063686207
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Ronald Morse (Respondent)
General Securities Principal and General Securities Representative
CRD No. 341008
Pursuant to FINRA Rule 9216, Respondent Ronald Morse submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.