2021073173701 Jason Michael Poschinger CRD 6450544 Complaint geg (2024-1731716398470).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement,
Complainant,
v.
Jason Michael Poschinger CRD No. 6450544,
Respondent.
Disciplinary Proceeding No. 2021073173701
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. From September through November 2021, Respondent Jason Michael Poschinger, while registered with FINRA through an association with FINRA member firm OneAmerica Securities, Inc. (BD No.
2021069380601 Blaine R. Stahlman CRD 1189213 AWC gg (2024-1731716404823).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069380601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Blaine R. Stahlman (Respondent)
General Securities Principal
CRD No. 1189213
Pursuant to FINRA Rule 9216, Respondent Blaine R. Stahlman submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
17-01414(2).pdf
motion to vacate
17-01414(4).pdf
order to confirm
23-02544(3).pdf
motion to vacate
2021071463401 Harold E. Klein CRD 1021759 AWC vr (2024-1731629998150).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, W AIYER, AND CONSENT
NO. 2021071463401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Harold E. Klein (Respondent)
General Securities Principal and General Securities Representative
CRDNo.1021759
Pursuant to FINRA Rule 9216, Respondent Harold E. Klein submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.