2023077959501 Joseph G. Ritter CRD 7682066 AWC vr (2024-1719188414506).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023077959501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Joseph G. Ritter (Respondent)
Former Associated Person
CRD No. 7682066
Pursuant to FINRA Rule 9216, Respondent Joseph G. Ritter submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.