2018059743301 Hornor, Townsend & Kent, LLC CRD 4031 AWC lp (2023-1682036416130).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059743301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hornor, Townsend & Kent, LLC (Respondent) Member Firm CRD No. 4031 Pursuant to FINRA Rule 9216, Respondent Hornor, Townsend & Kent, LLC (HTK) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068820401 Jeffrey L. Prince CRD 2428655 AWC lp (2023-1682036416083).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068820401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey L. Prince (Respondent) General Securities Representative CRD No. 2428655 Pursuant to FINRA Rule 9216, Respondent Jeffrey L. Prince submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Demetrios Koutros

Demetrios (“J”) Koutros is Vice President of Member Supervision’s Operations, Procedures, and Standards group. Mr. Koutros has been integral to the operation and execution of the Risk Monitoring and Examinations regulatory programs since joining FINRA in 2005. In his current role, Mr.

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