2024081415101 Lawrence Roger Rice CRD 375304 AWC lp (2024-1726273214025).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081415101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lawrence Roger Rice (Respondent) Former General Securities Representative CRD No. 375304 Pursuant to FINRA Rule 9216, Respondent Lawrence Roger Rice submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2024081399401 Angel L. Gulizio CRD 5311672 AWC vr (2024-1726273206987).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081399401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Angel L. Gulizio (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5311672 Pursuant to FINRA Rule 9216, Respondent Angel L. Gulizio submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078046101 Luis E. Nin CRD 4372587 AWC lp (2024-1726273207872).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078046101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Luis E. Nin (Respondent) Former General Securities Representative CRD No. 4372587 Pursuant to FINRA Rule 9216, Respondent Luis E. Nin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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