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2020066109401 Ronald V. Pullman CRD 1743097 AWC DM (2021-1622578818451).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066109401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Ronald V. Pullman (Respondent)
Former Registered Representative
CRD No. 1743097
Pursuant to FINRA Rule 9216, Respondent Ronald V. Pullman 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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2019061646405 Paul A. Spero CRD 1637713 AWC va (2021-1622161203028).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061646405 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul A. Spero (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1637713 Pursuant to FINRA Rule 9216, Respondent Paul A. Spero submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019062788601 Constantinos Maniatis CRD 4253356 AWC va (2021-1622161203529).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062788601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Constantinos Maniatis (Respondent) Former General Securities Representative CRD No. 4253356 Pursuant to FINRA Rule 9216, Respondent Constantinos Maniatis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018059856601 Kevin D. Barton CRD 2542056 AWC va (2021-1622161203303).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059856601TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin D. Barton (Respondent) General Securities Representative CRD No. 2542056 Pursuant to FINRA Rule 9216, Respondent Kevin D. Barton submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019063251701 David Martin Martirosian CRD 5261144 AWC va (2021-1622161203239).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063251701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Martin Martirosian (Respondent) General Securities Representative CRD No. 5261144 Pursuant to FINRA Rule 9216, Respondent David Martin Martirosian submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.