2018057235801 Megurditch Patatian CRD 4047060 NAC Decision jlg (2023-1698625207394).pdf
BEFORE THE NATIONAL ADJUDICATORY COUNCIL
FINANCIAL INDUSTRY REGULATORY AUTHORITY
In the Matter of
Department of Enforcement,
Complainant,
vs.
Megurditch Patatian
Granada Hills, CA,
Respondent.
DECISION
Complaint No. 2018057235801
Dated: September 28, 2023
Registered representative recommended unsuitable purchases of non-traded
real estate investment trusts and unsuitable surrenders and exchanges of
variable annuities, caused his firm to maintain inaccurate books and records,
and impersonated a customer in a communication with an insurance
company.
2022074093701 Cody Robert Roos CRD 6694181 AWC gg (2023-1698538803670).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074093701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Cody Robert Roos (Respondent)
Former General Securities Representative
CRD No. 6694181
Pursuant to FINRA Rule 9216, Respondent Cody Robert Roos submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.