Skip to main content

2023078168101 Tavic O. Francis CRD 6676717 Complaint vr (2024-1719706815292).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tavic O. Francis, CRD No. 6676717, Respondent. Disciplinary Proceeding No. 2023078168101 COMPLAINT The Department of Enforcement alleges: SUMMARY On four occasions, Respondent Tavic O. Francis failed to provide documents and information FINRA requested pursuant to FINRA Rule 8210 as part of FINRA’s investigation into Francis’s use of a corporate credit card to pay personal expenses.

20230802667 David C. Burke CRD 2239637 AWC gg (2024-1719706815909).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080266701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David C. Burke (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2239637 Pursuant to FINRA Rule 9216, Respondent David C. Burke submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.