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2022075246601 Jeremy Jefferson CRD 4444433 AWC gg (2023-1679617200072).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075246601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeremy Jefferson (Respondent) General Securities Representative General Securities Sales Supervisor CRD No. 4444433 Pursuant to FINRA Rule 9216, Respondent Jeremy Jefferson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Andrew Meyers

Andrew Meyers partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, leadership effectiveness, diversity and inclusion and culture.

Mr. Meyers joined FINRA in June 2012 and was rehired in March 2020. Prior to returning to FINRA in 2020, he served in a similar capacity at Danone and Allegis Group. Throughout his career, Mr. Meyers has served in a variety of roles with responsibility for managing and overseeing all aspects of Human Resources.

Kristin Chaffin

Kristin Chaffin partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, leadership effectiveness, diversity and inclusion and culture.

Before assuming her current role, Ms. Chaffin was head of FINRA’s Employee Relations, Investigations and HR Generalist team. She joined FINRA in June 2020 from Gallagher, a Fortune 500 insurance brokerage firm, where she served in a similar capacity.

Katie Kuehns

Katie Kuehns partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, leadership effectiveness, diversity and inclusion and culture.

Ms. Kuehns joined FINRA in 2007 and has served in a range of roles responsible for various aspects of Human Resources including Business Partnering, HR Strategy and Total Rewards.

2021071366301 Antoine Nabih Souma CRD 4210987 AWC gg (2023-1679617200719).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071366301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Antoine Nabih Souma (Respondent) Former General Securities Representative CRD No. 4210987 Pursuant to FlNRA Rule 9216, Respondent Antoine Nabih Souma submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.