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NO. 2017054157401
TO: Department of Enforcement
Financial Industry Regulatory Authority (“FINRA”)
RE: Lawrence James Rizer, Respondent
CRD No. 1168778
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,
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