2020069039301 William Donovan Ard CRD 1133673 AWC vr (2023-1698020407392).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020069039301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: William Donovan Ard (Respondent)
Former General Securities Representative
CRD No. 1133673
Pursuant to FINRA Rule 9216, Respondent William Donovan Ard submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Election Notice - 9/25/2023
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot.
19-03331(4).pdf
Order to Confirm
2019061945001 Goldman Sachs & Co. LLC. CRD 361 AWC lp (2023-1698020407374).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061945001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Goldman Sachs & Co. LLC (Respondent)
Member Firm
CRD No. 361
Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020066757801 Pierre Hilario CRD 4386481 AWC lp (2023-1697934015881).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066757801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Pierre M. Hilario (Respondent)
Former General Securities Representative
CRD No. 4386481
Pursuant to FINRA Rule 9216, Respondent Pierre M. Hilario submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.