2021073236801 Pershing LLC CRD 7560 AWC gg (2024-1725582009478).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021073236801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Pershing LLC (Respondent)
Member Firm
CRD No. 7560
Pursuant to FINRA Rule 9216, Respondent Pershing LLC submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020067122301 Jeffrey Tabak CRD 856416 AWC vr (2024-1725582008063).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067122301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeffrey Tabak (Respondent)
General Securities Principal
CRD No. 856416
Pursuant to FINRA Rule 9216, Respondent Jeffrey Tabak submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019063302101 Riedl First Securities Company of Kansas CRD 30812 AWC geg (2024-1725582007306).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063302101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Riedl First Securities Company of Kansas (Respondent)
Member Firm
CRD No. 30812
Pursuant to FINRA Rule 9216, Respondent Riedl First Securities Company of Kansas submits
this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement
of the alleged rule violations described below.