2020065127101 Creand Securities CRD 38964 AWC gg (2024-1718842815079).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065127101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Creand Securities (Respondent)
Member Firm
CRD No. 38964
Pursuant to FINRA Rule 9216, Respondent Creand Securities submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019060686501 Paulson Investment Company LLC CRD 5670 AWC gg (2024-1718842813791).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
2019060686501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Paulson Investment Company LLC (Respondent)
Member Firm
CRD No. 5670
Pursuant to FINRA Rule 9216, Respondent Paulson Investment Company LLC submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
22-00025(4).pdf
order to confirm
22-00041(4).pdf
Order to confirm
2024081647101 Brandon Daniel Neil CRD 4382535 AWC gg (2024-1718842815247).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081647101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Brandon Daniel Neil (Respondent)
Investment Company Products/Variable Contracts Principal and Investment Company
and Variable Contracts Products Representative
CRD No. 4382535
Pursuant to FINRA Rule 9216, Respondent Brandon Neil submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023079716301 Edward Kotak, Jr. CRD 6122803 AWC gg (2024-1718842813788).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079716301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Edward Kotak, Jr. (Respondent)
General Securities Representative
CRD No. 6122803
Pursuant to FINRA Rule 9216, Respondent Edward Kotak, Jr. submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.