2020066940501 Drexel Hamilton CRD 143570, Michael Ivcic CRD 6247801, Frederick Phelan CRD 5838146, David Steigerwald CRD 1347207, Thomas McClure Mead Jr. CRD 330666 AWC lp (2024-1734567610529).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066940501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Drexel Hamilton, LLC
Member Firm
CRD No. 143570
Michael Ivcic
General Securities Representative
CRD No. 6247801
Frederick Phelan
General Securities Representative
CRD No. 5838146
David Steigerwald
General Securities Representative
CRD No. 1347207
Thomas McClure Mead, Jr.
Former Municipal Securities Principal
CRD No.
2023080042101 CUNA Brokerage Services, Inc. CRD 13941 AWC lp (2024-1734567610339).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023080042101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: CUNA Brokerage Services, Inc. (Respondent)
Member Firm
CRD No. 13941
Pursuant to FINRA Rule 9216, Respondent CUNA Brokerage Services, Inc. submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023078415801 Akinfolarin O. Sessi CRD 6800169 AWC vr (2024-1734567610463).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078415801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Akinfolarin O. Sessi (Respondent)
Former General Securities Representative
CRD No. 6800169
Pursuant to FINRA Rule 9216, Respondent Akinfolarin O. Sessi submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.