2019060753505 Troy Allen Orlando CRD 6055474 AWC vr (2023-1703290794748).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019060753505
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Troy Allen Orlando (Respondent)
Former General Securities Representative
CRD No. 6055474
Pursuant to FINRA Rule 9216, Respondent Troy Allen Orlando submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Encore | Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
Succession planning is important not just for customers and representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we hear how and why firms should plan for the expected and unexpected in life.
