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2023077766801 Joanna L Morgan CRD 7252494 AWC lp (2023-1688689207425).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077766801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joanna L. Morgan (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7252494 Pursuant to FINRA Rule 9216, Respondent Joanna L. Morgan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078170101 Scott J. Matalon CRD 4637378 AWC vr (2023-1688689207393).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078170101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott J. Matalon (Respondent) Former General Securities Representative CRD No. 4637378 Pursuant to FINRA Rule 9216, Respondent Scott J. Matalon submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071954502 Jeremy Jefferson Jacobson CRD 4437801 AWC lp (2023-1688689207500).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071954502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeremy Jefferson Jacobson Former General Securities Representative and General Securities Sales Supervisor CRD No. 4437801 Pursuant to FINRA Rule 9216, Respondent Jeremy Jefferson Jacobson (Jacobson) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Michael Seek

Mr. Seek  joined FINRA in September 2020. He has been a trusted advisor to his business partners, clients and peers for more than 19 years. Over his career he has enjoyed working with his business partners to provide candid, practical advice on internal controls and process design. He actively networks with peers and shares information and stories on best practices, emerging trends, and challenging situations to help coach and mentor Internal Audit professionals.

Andrew Dobry

Andrew Dobry joined FINRA in 2020 as a Vice President within Internal Audit. Andrew leads the Information Technology Audit Team, which provides assurance over the security and integrity of FINRA’s information assets.

Mr. Dobry has over 35 years of experience in corporate audit roles. Prior to joining FINRA, Mr. Dobry was employed by Booz Allen Hamilton, with roles as Chief Audit Executive and Head of IT Audit. He has also led the IT Audit functions at Constellation Energy, FleetBoston Financial, and the Vanguard Group. 

2022074931701 Adam C. Ellison CRD 6073346 AWC lp (2023-1688602806953).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074931701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Adam C. Ellison (Respondent) Former General Securities Representative CRD No. 6073346 Pursuant to FINRA Rule 9216, Respondent Adam C. Ellison submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.