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2019061735701 Santander Investment Securities Inc. CRD 37216 AWC va (2020-1608855598022).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061735701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Santander Investment Securities Inc. (Respondent) Member Firm CRD No. 37216 Pursuant to FINRA Rule 9216, Respondent Santander Investment Securities Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061380101 Timothy David O'Brien CRD 1182298 AWC va (2020-1608855598330).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061380101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy David O'Brien, Respondent CRD No. 1182298 Pursuant to FINRA Rule 9216, Respondent Timothy David O'Brien submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2014042291901 Admin Proc File 3-18881 Gopi Krishna Vungarala CRD 4856193 SEC Decision rrm (2020-1608855597763).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURTIES EXCHANGE ACT OF 1934 Release No. 90476 / November 20, 2020 Admin. Proc. File No. 3-18881 In the Matter of the Application of GOPI KRISHNA VUNGARALA For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING Former registered representative of FINRA member firm appeals from FINRA disciplinary action finding that he made fraudulent misrepresentations and omissions regarding
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