2022075185701 William J. Fournier CRD 7461696 AWC vr (2023-1684455612483).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075185701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William J. Fournier (Respondent) Former Non-Registered Fingerprint Person CRD No. 7461696 Pursuant to FINRA Rule 9216, Respondent William J. Fournier submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023 Senior Investor Protection Conference: The Latest Trends, Scams and Schemes

In March, FINRA hosted the Senior Investor Protection Conference, a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and other vulnerable investors from exploitation. On this episode, we're taking an abridged look at one of the conference sessions on the various trends, scams and schemes currently impacting investors.

2021070656001 Randell J. Ogden CRD 2019815 AWC lp (2023-1684369209915).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070656001 TO: Department of Enforcement Financial Industry Regulatory Authority (FJNRA) RE: Randell J. Ogden (Respondent) General Securities Representative CRD No. 2019815 Pursuant to FINRA Rule 9216, Respondent Randell J. Ogden submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057188801 Regal Securities, Inc. CRD 7297 AWC vr (2023-1684369209943).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057188801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Regal Securities, Inc. (Respondent) Member Firm CRD No. 7297 Pursuant to FINRA Rule 9216, Respondent Regal Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061442501 RBC Capital Markets, LLC CRD 31194 AWC gg (2023-1684196387561).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061442501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060897301 Steven M. Netzel CRD 2863170 AWC gg (2023-1684196387563).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060897301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven M. Netzel (Respondent) Former General Securities Representative CRD No. 2863170 Pursuant to FINRA Rule 9216, Respondent Steven M. Netzel submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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