2021070741501 Patrick Keith Sloan CRD 6466410 AWC lp (2023-1678666801484).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070741501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Patrick Keith Sloan (Respondent)
Former General Securities Representative
CRD No. 6466410
Pursuant to FINRA Rule 9216, Respondent Patrick Keith Sloan submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021069365001 Long Island Financial Group, Inc. CRD 31148 AWC gg (2023-1678666802841).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069365001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Long Island Financial Group, Inc. (Respondent)
Member Firm
CRD No. 31148
Pursuant to FINRA Rule 9216, Respondent Long Island Financial Group, Inc. (LIFG) submits
this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement
of the alleged rule violations described below.
2020065435403 Fortune Financial Services, Inc. CRD 42150 AWCgg (2023-1678666801659).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065435403
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Fortune Financial Services, Inc. (Respondent)
Member Firm
CRD No. 42150
Pursuant to FINRA Rule 9216, Respondent Fortune Financial Services, Inc. submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.