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2018059478701 Scott David Fergang CRD 1758758 AWC va (2021-1621815610275).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059478701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott David Fergang (Respondent) General Securities Representative CRD No. 1758758 Pursuant to FINRA Rule 9216, Respondent Scott David Fergang submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019063574801 Frederick Joseph Rock CRD 2548242 AWC va (2021-1621815610199).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063574801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frederick Joseph Rock (Respondent) Former General Securities Representative CRD No. 2548242 Pursuant to FINRA Rule 9216, Respondent Frederick Joseph Rock submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018058600001 Maxim Group LLC CRD 12078 AWC va (2021-1621815609306).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058600001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maxim Group LLC (Respondent) Member Firm CRD No. 120708 Pursuant to FINRA Rule 9216, Respondent Maxim Group LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Tim Mountz
Tim Mountz is Senior Vice President and Chief Litigation Counsel in FINRA’s Office of General Counsel. He leads the Litigation Group, which is responsible for representing FINRA in litigation and providing legal advice on matters involving litigation risk. Legal matters for which the OGC Litigation Group is responsible include claims challenging FINRA’s regulatory activities, securities arbitration proceedings and employment-related matters.
Elisabeth Craig
Elisabeth Craig is senior vice president of FINRA’s Credentialing, Registration, Education and Disclosure (CRED) department. In this role, she leads FINRA’s registration, disclosure, testing and continuing education programs for the securities industry, including overseeing the Central Registration Depository, BrokerCheck and CE Online.