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FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
Department of Enforcement, Complainant, v. Jason Edward Schwartz CRD No. 2798141, Respondent. Disciplinary Proceeding No. 2017056698601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or around December 2015 through May 2017 (the “relevant period”), while registered with FINRA through member firm AIG Capital Services, Inc. (AIG), Respondent Jason Edward Schwartz converted $32,400 from AIG by submitting falsified
2019063797402 David Alan Stateman CRD 5530638 AWC sl (2021-1610065197826).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063797402
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: David Alan Stateman (Respondent)
Investment Company and Variable Contracts Products Representative CRD No. 5530638
Pursuant to FINRA Rule 9216, Respondent David Alan Stateman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019064830701 Michael Edward Magill CRD 2024663 AWC rrm (2021-1610065197988).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064830701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Edward Magill (Respondent) Former General Securities Representative CRD No. 2024663 Pursuant to FINRA Rule 9216, Respondent Michael Edward Magill submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.