2022073282001 The Carney Group, Incorporated CRD 16671 AWC lp (2023-1684113621826).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073282001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: The Carney Group, Incorporated (Respondent)
Member Firm
CRD No. 16671
Pursuant to FINRA Rule 9216, Respondent The Carney Group, Incorporated submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
21-02729(3).pdf
motion to vacate
20-00715(5).pdf
order to vacate
20-00715(4).pdf
motion to vacate
20-03924(3).pdf
motion to vacate
2021072238301 Bradley S. Jones CRD 4544269 AWC lp.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072238301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Bradley S. Jones (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 4544269
Pursuant to FINRA Rule 9216, Respondent Bradley S. Jones submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.