2020067713101 John Benjamin Nelson CRD 4768530 AWC lp (2023-1702081193851).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067713101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John Benjamin Nelson (Respondent)
General Securities Representative
CRD No. 4768530
Pursuant to FINRA Rule 9216, Respondent John Benjamin Nelson submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020065114701 Tradition Securities and Derivatives, LLC CRD 28269 AWC vr (2023-1701994798682).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065114701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Tradition Securities and Derivatives LLC (Respondent)
Member Firm
CRD No. 28269
Pursuant to FINRA Rule 9216, Respondent Tradition Securities and Derivatives LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.