FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
| |||
2018056490307 Joao A. Pinto CRD 6298233 AWC vr (2023-1703204397449).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO.2018056490307
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Joao A. Pinto (Respondent)
General Securities Representative and Investment Company and Variable Contracts
Products Representative
CRD No. 6298233
Pursuant to FINRA Rule 9216, Respondent Joao A. Pinto submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020065106301 Scott W. Norvell CRD 2196706 AWC vr (2023-1703204397311).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065106301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Scott W. Norvell (Respondent)
General Securities Representative and Investment Company and Variable Contracts
Products Representative
CRD No. 2196706
Pursuant to FINRA Rule 9216, Respondent Scott W. Norvell submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
