2022077273801 Ronald B. Smith CRD 2483733 AWC gg (2023-1698538809900).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022077273801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Ronald B. Smith (Respondent)
Former General Securities Representative
CRD No. 2483733
Pursuant to FINRA Rule 9216, Respondent Ronald B. Smith submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2023078076201 Jean A St. Pierre CRD 2073702 AWC vr (2023-1698452402482).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078076201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jean A. St. Pierre (Respondent)
Former General Securities Representative
CRD No. 2073702
Pursuant to FINRA Rule 9216, Respondent Jean A. St. Pierre submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022074407901 Alan Paul Donenfeld CRD 1206842 AWC vr (2023-1698452407415).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074407901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Alan Paul Donenfeld (Respondent)
Former General Securities Representative
CRD No. 1206842
Pursuant to FINRA Rule 9216, Respondent Alan Paul Donenfeld 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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