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2023080344001 Lonny Miller CRD 7512679 AWC lp (2025-1740788401079).pdf

Miller refused to appear for on-the-record testimony as requested by FINRA pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010. As a result, Miller is barred from associating with any FINRA member in all capacities.

Annual Reports Due

SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.

Annual Reports Due

SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.

Annual Reports Due

SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.

Annual Reports Due

SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.

Annual Reports Due

SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.

Annual Reports Due

SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.

2023078986501 Kenneth H. Nahrstedt CRD 2096953 AWC lp (2025-1740788399662).pdf

In April 2023, Nahrstedt submitted a written attestation to L.M. Kohn in which he falsely attested that he had spoken to a customer to confirm a $500,000 wire transfer request from the customer's account, when, in fact, he had not done so. By falsifying a written attestation to the firm, Nahrstedt violated FINRA Rule 2010. Additionally, Nahrstedt violated FINRA Rules 4511 and 2010 by causing L.M. Kohn to maintain inaccurate books and records. Nahrstedt is suspended for two months and fined $5,000.

Annual Reports Due

SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.

Robinhood Comment On Regulatory Notice 24-13