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2017053314902 Christopher Fernan CRD 5896584 AWC sl (2020-1605831568354).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2017053314902
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christopher Fernan (Respondent)
Former General Securities Representative CRD No. 5896584
Pursuant to FINRA Rule 9216. Respondent Christopher Fernan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019063916701 Troy R. Baily CRD 4458930 AWC va (2020-1605745179362).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063916701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Troy R. Baily, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 4458930 Pursuant to FINRA Rule 9216, Respondent Troy R. Baily submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019063005301 Travis R. Nelson CRD 6018906 AWC va (2020-1605745179126).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063005301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Travis R. Nelson (Respondent) Former General Securities Representative CRD No. 6018906 Pursuant to FINRA Rule 9216, Respondent Travis R. Nelson submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019062616701 John Henry Geary CRD 853462 AWC va (2020-1605745179529).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062616701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Henry Geary (Respondent) General Securities Representative and General Securities Principal CRD No. 853462 Pursuant to FINRA Rule 9216, Respondent John Henry Geary submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Regulatory Notice 20-37
Executive Summary
The NAC has revised the principal considerations in the Sanction Guidelines to expressly contemplate a customer’s age or physical or mental impairment that renders the individual unable to protect his or her own interests.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to: