2020068655201 Robert W. Baird & Co., Inc. CRD 8158 AWC vr (2023-1701908398610).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068655201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert W. Baird & Co., Inc. (Respondent) Member Firm CRD No. 8158 Pursuant to FINRA Rule 9216, Respondent Robert W. Baird & Co., Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072622201 Bolton Global Capital CRD 15650 AWC gg (2023-1701649196662).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072622201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bolton Global Capital (Respondent) Member Firm CRD No. 15650 Pursuant to FINRA Rule 9216, Respondent Bolton Global Capital submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078894201 Joseph S. Hanson CRD 5109237 AWC gg (2023-1701649202226).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078894201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph S. Hanson (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5109237 Pursuant to FINRA Rule 9216, Respondent Joseph S. Hanson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076673601 Brian K. Shey CRD 4610561 AWC lp (2023-1701649196728).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076673601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian K. Shey (Respondent) Former General Securities Representative CRD No. 4610561 Pursuant to FINRA Rule 9216, Respondent Brian K. Shey submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069307801 Sun's Brothers Securities Inc. CRD 123531 AWC lp (2023-1701649196663).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069307801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sun’s Brothers Securities Inc. (Respondent) Member Firm CRD No. 123531 Pursuant to FINRA Rule 9216, Respondent Sun’s Brothers Securities Inc. 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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