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2021072053201 Sean Pong CRD 2406530 AWC vr (2023-1688775601104).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072053201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean Pong (Respondent) Former General Securities Representative CRD No. 2406530 Pursuant to FINRA Rule 9216, Respondent Sean Pong submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SEC, NASAA, FINRA to Co-Host Webinar on Identifying and Reporting Suspected Senior Financial Exploitation

Regulators to Discuss Protecting Seniors During World Elder Abuse Awareness Day

WASHINGTON—The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA) and FINRA will be co-hosting the Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation.

2017052760001 Nancy Kimball Mellon CRD 1253484 SEC Decision jlg (2023-1688775601253).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 97623 / May 31, 2023 Admin. Proc. File No. 3-21267 In the Matter of the Application of Nancy Kimball Mellon For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF FINRA ACTION Former registered representative of FINRA member firm filed an application for review of FINRA action barring her from association with any FINRA member. Held, application for review is dismissed as untimely. APPEARANCES: Nancy Kimball Mellon,

2022073798101 UnionBanc Investment Services, LLC CRD 14455 AWC lp (2023-1688689207684).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073798101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UnionBanc Investment Services LLC (Respondent) Member Firm CRD No. 14455 Pursuant to FINRA Rule 9216, Respondent UnionBanc Investment Services LLC (UBIS) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.