2020066995301 Charles Shields CRD 2067177 AWC gg (2023-1696810805712).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066995301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Charles Shields (Respondent)
Former General Securities Representative
CRD No. 2067177
Pursuant to FINRA Rule 9216, Respondent Charles Shields submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
22-00158(4).pdf
Order to Vacate
Election Notice – 9/11/23
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election