2021073486701 Robert Joseph DeHayes CRD 2638059 AWC vr (2023-1702686001301).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021073486701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert Joseph DeHayes (Respondent)
General Securities Representative
CRD No. 2638059
Pursuant to FINRA Rule 9216, Respondent Robert Joseph DeHayes submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023079873002 Edward Steven Mercer CRD 1839328 AWC gg (2023-1702685996588).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079873002
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Edward Steven Mercer (Respondent)
General Securities Representative
CRD No. 1839328
Pursuant to FINRA Rule 9216, Respondent Edward Steven Mercer submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021070332301 Wedbush Securities Inc. CRD 877 AWC vr (2023-1702685996589).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070332301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Wedbush Securities Inc. (Respondent)
Member Firm
CRD No. 877
Pursuant to FINRA Rule 9216, Respondent Wedbush Securities Inc. (Wedbush) submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
2020068747501 John Ginsburg CRD 3022789 AWC vr (2023-1702685996590).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068747501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John Ginsburg (Respondent)
General Securities Representative
CRD No. 3022789
Pursuant to FINRA Rule 9216, Respondent John Ginsburg submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.