2019062789901 Roger Allan Duval CRD 2503718 AWC jlg (2020-1603325971894).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062789901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roger Allan Duval, Respondent General Securities Representative CRD No. 2503718 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Roger Allan Duval submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2015043646501 Eric S. Smith CRD 2894648 NAC Decision jlg (2020-1603325971197).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Eric S. Smith Troy, MI, Respondent. DECISION Complaint No. 2015043646501 Dated: September 18, 2020 Respondent fraudulently misrepresented and omitted material facts in connection with the sale of securities and failed to register as a general securities representative and principal despite engaging in conduct requiring registration. Held, findings affirmed

Regulatory Notice 20-33

Summary

FINRA is proposing formal procedures for bringing actions against non-associated persons who cheat or misbehave during a FINRA qualification examination. Although there are few instances of cheating, because persons who are not yet associated with a member firm may take the Securities Industry Essentials (SIE) examination or other FINRA qualification examinations, formal procedures are needed to address misconduct by non-associated persons when it occurs.   

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