FINRA Is Open

2021069353201 John Wigmore Reilly III CRD 2209377 AWC gg (2024-1723162818381).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069353201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Wigmore Reilly III (Respondent) Former General Securities Representative CRD No. 2209377 Pursuant to FINRA Rule 9216, Respondent John Wigmore Reilly III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075854801 Carnell Moore CRD 2715870 AWC gg (2024-1723162817116).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075854801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carnell Moore (Respondent) Former General Securities Representative CRD No. 2715870 Pursuant to FINRA Rule 9216, Respondent Carnell Moore submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021073037102 UBS Financial Services Inc. CRD 8174 AWC gg (2024-1723076414207).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073037102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRDNo. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065474002 Lincoln Financial Distributors, Inc. CRD 145 AWC gg (2024-1723076414300).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065474002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lincoln Financial Distributors, Inc. (Respondent) Member Firm CRDNo. 145 Pursuant to FINRA Rule 9216, Respondent Lincoln Financial Distributors, Inc. 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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