Disclosure Reporting Webinar Series: Terminations and Internal Reviews
During this webinar, FINRA will provide guidance on completing Form U5 and reporting Internal Review and Termination events.
2021072406602 Robert Vincent Judge CRD 1147009 AWC gg (2023-1693700412435).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072406602
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert Vincent Judge (Respondent)
Former General Securities Principal and Representative
CRD No. 1147009
Pursuant to FINRA Rule 9216, Respondent Robert Vincent Judge submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
File a Complaint (Form)
Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from FINRA membership or other appropriate sanctions.
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BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
2021072406601 Bradley Thomas Wastler CRD 868378 AWC gg (2023-1693700406018).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072406601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Bradley Thomas Wastler (Respondent)
Former General Securities Principal and Representative
CRD No. 868378
Pursuant to FINRA Rule 9216, Respondent Bradley Thomas Wastler submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.