2023079098201 Elan Sanker CRD 5580543 AWC gg (2024-1730679601620).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079098201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Elan Sanker (Respondent)
Former General Securities Representative
CRD No. 5580543
Pursuant to FINRA Rule 9216, Respondent Elan Sanker submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022077410701 Jeremy D. Baldwin CRD 5743175 AWC gg (2024-1730679601490).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022077410701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeremy D. Baldwin (Respondent)
Former General Securities Representative
CRD No. 5743175
Pursuant to FINRA Rule 9216, Respondent Jeremy D. Baldwin submits this Letter of
Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021069303201 Signet Securities, LLC CRD 154198 AWC gg (2024-1730593213170).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069303201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Signet Securities, LLC (Respondent)
Member Firm
CRD No. 154198
Pursuant to FINRA Rule 9216, Respondent Signet Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2022076895001 Richard Dean Connally CRD 2570561 AWC lp (2024-1730593213044).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076895001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Richard Dean Connally (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 2570561
Pursuant to FINRA Rule 9216, Respondent Richard Dean Connally submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023079817501 David Allen Gibbs CRD 2917334 AWC lp (2024-1730506804218).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079817501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: David Allen Gibbs (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 2917334
Pursuant to FINRA Rule 9216, Respondent David Allen Gibbs submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.