2018058699101 Richard C. Berg CRD 1233833 AWC va (2019-1574295592162).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058699101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard C. Berg CRD No. 1233833 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.