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2019062964801 John D. Craft CRD 1844174 AWC sl (2021-1610756403033).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062964801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John D. Craft (Respondent) General Securities Representative CRD No. 1844174 Pursuant to FINRA Rule 9216, Respondent John D. Craft submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

2019063651401 Angel Lynn Simpson CRD 6488474 AWC sl (2021-1610756403693).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063651401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Angel Lynn Simpson General Securities Representative CRD No. 6488474 Pursuant to FINRA Rule 9216, Respondent Angel Simpson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA

2015046716901 Cetera Advisor Networks LLC CRD 13572 et al AWC rrm (2021-1610756403538).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046716901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cetera Advisor Networks LLC, Respondent Member Firm CRD No. 13572 Cetera Advisors LLC, Respondent Member Firm CRD No. 10299 Cetera Financial Specialists LLC, Respondent Member Firm CRD No. 10358 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents Cetera Advisor Networks LLC, Cetera Advisors LLC

2016047696701 RBC Capital Markets, LLC CRD 31194 AWC rrm (2021-1610756403689).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047696701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC, Respondent Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 20-42

Summary

In response to the coronavirus (COVID-19) pandemic, member firms have made rapid and unprecedented changes to their business operations in order to prioritize the health and safety of firm personnel and investors, while maintaining the public’s access to capital markets. These changes include widespread use of remote offices and alternative work arrangements and new and expanded methods of engaging with personnel and investors. Member firms have also used new methods of engaging with FINRA and other regulators and complying with regulatory requirements.

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