2022074961801 Jonathan Jasper Norton CRD 4662779 AWC vr (2023-1684542005150).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074961801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Johnathan Jasper Norton (Respondent)
Investment Company and Variable Contracts Products Representative; Investment
Company Products/Variable Contracts Principal
CRD No. 4662779
Pursuant to FINRA Rule 9216, Respondent Johnathan Jasper Norton (Norton) submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Oficina del Ombuds de FINRA
Ombuds (o Ombudsman) es un término originario de Suecia y significa representativo. La International Ombuds Association (Asociación Internacional de Ombuds) describe a un ombuds como "alguien que ayuda a individuos y grupos en la resolución de conflictos o preocupaciones".