2023077782601 Commerce Brokerage Services, Inc. CRD 17140 AWC lp (2024-1733530800891).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077782601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Commerce Brokerage Services, Inc. (Respondent) Member Firm CRD No. 17140 Pursuant to FINRA Rule 9216, Respondent Commerce Brokerage Services, Inc. (“Commerce Brokerage”) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022077410101 James C. Stockton CRD 1801686 AWC lp (2024-1733530812975).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077410101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James C. Stockton (Respondent) Investment Company and Variable Contracts Products Representative and Direct Participation Programs Representative CRD No. 1801686 Pursuant to FINRA Rule 9216, Respondent James C. Stockton submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063352402 Tim D. Hemingway CRD 5013252 AWC gg (2024-1733530800889).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063352402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tim D. Hemingway (Respondent) General Securities Representative CRD No. 5013252 Pursuant to FINRA Rule 9216, Respondent Tim D. Hemingway submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063352403 Walter C. Bish CRD 3214712 AWC gg (2024-1733530800885).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063352403 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Walter C. Bish (Respondent) General Securities Representative CRD No. 3214712 Pursuant to FINRA Rule 9216, Respondent Walter C. Bish submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063352401 Smith, Brown & Groover, Inc. CRD 1329 and Raymond Hill Smith, Jr. CRD 731506 AWC gg (2024-1733530800884).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063352401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Smith, Brown & Groover, Inc. (Respondent) Member Firm CRD No. 1329 Raymond Hill Smith, Jr. (Respondent) General Securities Representative and General Securities Principal CRD No. 731506 Pursuant to FINRA Rule 9216, Respondents Smith, Brown & Groover, Inc.

Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry

In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.
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