2019064884501 GUSTAVO TRUJILLO FRANCO CRD 6793684 OHO Decision sl (2020-1593389967851).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GUSTAVO TRUJILLO FRANCO (CRD No. 6793684), Respondent. Disciplinary Proceeding No. 2019064884501 Hearing Officer-RES DEFAULT DECISION May 28, 2020 Respondent is barred from associating with any FINRA member in any capacity for failing to appear for on-the-record testimony as required by FINRA Rule 8210. Appearances For Complainant: J. Loyd Gattis, Esq., Michael P. Manly, Esq., Department of Enforcement, Financial Industry Regulatory Authority

2017053843901 Michael Patrick Murphy CRD 2596905 OHO va (2020-1593303569624).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL PATRICK MURPHY (CRD No. 2596905), Respondent. Disciplinary Proceeding No. 2017053843901 Hearing Officer - RES HEARING PANEL DECISION May 27, 2020 Respondent Michael Patrick Murphy is fined $20,000 and suspended from associating with ay FINRA member in any capacity for six months. Respondent willfully failed to timely amend his Form U4 to disclose three

2018059527301 Julie Reyes CRD 6779272 AWC va (2020-1593303570590).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059527301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Julie Reyes, Respondent Former Associated Person CRD No. 6779272 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Julie Reyes submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

13901. Member Surcharge

(a) A surcharge in the amount indicated in the schedule below will be assessed against each member that:
(1) Files a claim, counterclaim, cross claim, or third party claim under the Code;
(2) Is named as a respondent in a claim, counterclaim, cross claim, or third party claim filed and served under the Code; or
(3) Employed, at the time the dispute arose, an associated person who i

12901. Member Surcharge

(a) Member Surcharge
(1) A surcharge in the amount indicated in the schedule below will be assessed against each member that:
(A) Files a claim, counterclaim, cross claim, or third party claim under the Code;
(B) Is named as a respondent in a claim, counterclaim, cross claim, or third party claim filed and served under the Code; or
(C) Employed, at the time the dispu
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