2018058397101 David Quentin Kendrick CRD 4384666 AWC jm (2019-1577060406692).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058397101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Quentin Kendrick, Respondent General Securities Representative CRD No. 4384666 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Quentin Kendrick ("Kendrick" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2018058820101 Dennis Masaaki Nakamura CRD 819626 AWC jm (2019-1577060409081).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058820101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dennis Masaaki Nakamura, Respondent General Securities Representative CRD No. 819626 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dennis Masaaki Nakamura ("Nakamura" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2018058815501 Matthew Leon White CRD 5365185 AWC va (2019-1576973981472).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058815501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew Leon White, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5365185 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Matthew Leon White ("White" 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.

2016049105201 CODA Markets, Inc. CRD 36187 AWC va (2019-1576973982855).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049105201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CODA Markets, Inc., Respondent Member Firm CRD No. 36187 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent CODA Markets, Inc. (the "Firm" or "CODA") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061715601 Harold A. Schwartz CRD 841225 AWC jm (2019-1576973982195).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061715601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harold A. Schwartz, Respondent General Securities Representative and General Securities Principal CRD No. 841225 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Harold A. Schwartz submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
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