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2019062948102 James Brett Stuart CRD 3022149 Complaint gg (2023-1701044399872).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Brett Stuart CRD No. 3022149, Respondent Disciplinary Proceeding No. 2019062948102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between September 2018 and August 2021 (the relevant period), Respondent James Brett Stuart—the Chief Executive Officer (CEO), Chief Compliance Officer (CCO), and majority owner of Richfield Orion International, Inc. (CRD No.

2018060896801 Salvatore Gambino CRD 2846054 AWC gg (2023-1701044399869).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060896801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Salvatore Gambino (Respondent) Former General Securities Principal, Former General Securities Representative CRD No. 2846054 Pursuant to FINRA Rule 9216, Respondent Salvatore Gambino submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022074637301 Nathan Wilks CRD 7291086 AWC lp (2023-1701044405311).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074637301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nathan Wilks (Respondent) Former General Securities Representative CRD No. 7291086 Pursuant to FINRA Rule 9216, Respondent Nathan Wilks submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.