2023079808801 Jackson Boomer CRD 7509259 AWC vr (2024-1719620397363).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079808801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jackson Boomer (Respondent)
Former General Securities Representative
CRD No. 7509259
Pursuant to FINRA Rule 9216, Respondent Jackson Boomer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2024082083001 Bryan Stuart Kocen CRD 2119036 AWC vr (2024-1719620397359).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024082083001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Bryan Stuart Kocen (Respondent)
General Securities Principal
CRD No. 2119036
Pursuant to FINRA Rule 9216, Respondent Bryan Stuart Kocen submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023079075201 Thrivent Investment Management, Inc. CRD 18387 AWC vr (2024-1719620397360).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO.2023079075201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Thrivent Investment Management Inc. (Respondent)
Member Firm
CRD No. 18387
Pursuant to FINRA Rule 9216, Respondent Thrivent Investment Management Inc. (Thrivent)
submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a
settlement of the alleged rule violations described below.
2020066382601 BofA Securities, Inc. CRD 283942 AWC vr (2024-1719620397358).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066382601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: BofA Securities, Inc. (Respondent)
Member Firm
CRD No. 283942
Pursuant to FINRA Rule 9216, Respondent BofA Securities, Inc. (BofAS or the firm) submits
this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement
of the alleged rule violations described below.
24-00252(3).pdf
motion to vacate