2024081427901 Paul Francis Trimber CRD 2765260 AWC gg (2024-1713745211428).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081427901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Francis Trimber (Respondent) Former General Securities Representative CRD No. 2765260 Pursuant to FINRA Rule 9216, Respondent Paul Francis Trimber submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075762601 David A. Dodson CRD 2363957 AWC lp (2024-1713745212638).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075762601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David A. Dodson (Respondent) Former General Securities Representative CRD No. 2363957 Pursuant to FINRA Rule 9216, Respondent David A. Dodson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Abby Slonecker

Abby Slonecker joined FINRA in early 2021 as Chief of Staff to Greg Ruppert and Senior Vice President of Member Supervision’s Office of Strategy and Program Risk (OSPR). In her role as Chief of Staff, she executes Greg’s strategic vision toward fulfilling FINRA’s mission and advises his Senior Leadership team. As SVP of OSPR, she oversees five teams that advise and support Member Supervision’s regulatory work. These teams include Strategy and Execution, Regulatory Liaison, Strategic Engagement, Regulatory Advisor, and Business Enablement, Engagement, and Regulatory Training.  

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