2019063749201 Todd Ray Anderson CRD No. 1896352 AWC gg (2023-1684628406430).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063749201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Todd Ray Anderson (Respondent)
General Securities Representative
CRD No. 1896352
Pursuant to FINRA Rule 9216, Respondent Todd Ray Anderson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Special Notice - 4/25/23
Summary
FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides:
