2022077422401 Andrew M. Komarow CRD 5838564 AWC lp (2023-1689466810184).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022077422401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Andrew M. Komarow
Former General Securities Representative
CRD No. 5838564
Pursuant to FINRA Rule 9216, Respondent Andrew M. Komarow submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021072323701 Brody Bray CRD 4727529 AWC lp (2023-1689466810078).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072323701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Brody Bray (Respondent)
Former General Securities Representative
CRD No. 4727529
Pursuant to FINRA Rule 9216, Respondent Brody Bray submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2021070569901 Richard F. Spettell CRD 1686392 AWC vr (2023-1689466810200).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070569901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Richard F. Spettell (Respondent)
General Securities Representative
CRD No. 1686392
Pursuant to FlNRA Rule 9216, Respondent Richard F. Spettell submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Deadline for Comments on Regulatory Notice 23-09
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
2023078087101 Thomas Vernor CRD 1277533 AWC vr (2023-1689466810069).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078087101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Thomas Vernor (Respondent)
Former General Securities Representative
CRD No. 1277533
Pursuant to FINRA Rule 9216, Respondent Thomas Vernor submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.