2022076523201 Timothy James Breslin CRD 2981153 AWC gg (2023-1693700406015).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076523201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Timothy James Breslin (Respondent)
Former General Securities Representative and Former Investment Company and Variable
Contracts Products Representative
CRD No. 2981153
Pursuant to FINRA Rule 9216, Respondent Timothy Breslin submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
21-01438(4).pdf
Order to Vacate
2020065297002 Lilia Nia CRD 6018019 AWC geg (2023-1693614003029).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065297002
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Lilia Nia (Respondent)
Former General Securities Representative
CRD No. 6018019
Pursuant to FINRA Rule 9216, Respondent Lilia Nia submits this Letter of Acceptance, Waiver,
and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations
described below.
2020065297001 William Henry Weisbrod CRD 812664 AWC gg (2023-1693614003368).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065297001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: William Henry Weisbrod (Respondent)
Former General Securities Representative
CRD No. 812664
Pursuant to FINRA Rule 9216, Respondent William Henry Weisbrod submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.