2014041541402 Craig M. Gould CRD 2367293 AWC va (2020-1582417169619).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041541402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Craig M. Gould, Respondent General Securities Principal CRD No. 2367293 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Craig M. Gould submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064596401 Charles Jonathan Evan CRD 836083 AWC sl (2020-1582417168588).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064596401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Jonathan Evan, Respondent Former Registered Representative CRD No. 836083 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Charles Jonathan Evan 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

2018057416501 Julian E. Munoz CRD 4773991 AWC va (2020-1582330768139).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057416501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Julian E. Munoz, Respondent General Securities Representative CRD No. 4773991 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Julian E. Munoz ("Munoz" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2019063631802 Michael Leahy CRD 1899498 AWC va (2020-1582330768996).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063631802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Leahy, Respondent General Securities Representative and General Securities Principal CRD No. 1899498 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Leahy submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Information Notice – 1/23/20

Summary

The United States Department of Homeland Security (DHS) has issued a bulletin under the National Terrorism Advisory System summarizing the heightened risk of potential cyber and physical attacks by Iran against the United States.1 This Notice outlines steps firms may consider taking to be prepared and respond to any cyber attacks and other business disruptions that may occur.

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