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SR-FINRA-2020-020
Rule Filing Status: Approved
Rule change to adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer).
2019064868502 Bradley Hildebrand CRD 5608456 AWC va (2020-1606954800696).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064868502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bradley Hildebrand (Respondent) Former Investment Banking Representative CRD No. 5608456 Pursuant to FINRA Rule 9216, Respondent Bradley Hildebrand submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.