2022074678101 Rene Adolfo Bolivar CRD 3275996 AWC lp (2023-1684023602022).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074678101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Rene Adolfo Bolivar (Respondent)
Former General Securities Representative
CRD No. 3275996
Pursuant to FINRA Rule 9216, Respondent Rene Adolfo Bolivar submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023078014501 Stephenie Ashley Collins CRD 5903192 AWC lp (2023-1684023602006).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078014501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Stephenie Ashley Collins (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 5903192
Pursuant to FINRA Rule 9216, Respondent Stephenie Ashley Collins submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violation described below.
13807. Promissory Note Proceedings
(a) Applicability of Rule
This rule applies to arbitrations solely involving a member's claim that an associated person failed to pay money owed on a promissory note. To proceed under this rule, a claim may not include any additional allegations.
