2021072968801 Jeremiah Roman CRD 6321876 AWC vr (2023-1692404404159).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072968801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeremiah Roman (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 6321876
Pursuant to FINRA Rule 9216, Respondent Jeremiah Roman submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020068810201 John C. Jacobsen CRD 2864333 AWC vr (2023-1692404398778).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068810201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John C. Jacobsen (Respondent)
Former General Securities Representative
CRD No. 2864333
Pursuant to FINRA Rule 9216, Respondent John C. Jacobsen submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022076505601 Lynn W. Bryant CRD 3216344 AWC lp (2023-1692318006996).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076505601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Lynn W. Bryant (Respondent)
Former General Securities Representative
CRD No. 3216344
Pursuant to FINRA Rule 9216, Respondent Lynn W. Bryant submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.