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13-03275(4).pdf
Order to Confirm
2023077059101 Andrew Mack CRD 5932062 AWC lp (2025-1755908394529).pdf
From May 2021 to July 2023, Mack exercised discretion without written authorization in
connection with approximately 1,700 trades in 84 customer accounts in violation of
FINRA Rules 3260(b) and 2010. For that violation, Mack is suspended for three months
in all capacities and fined $10,000.
24-02593(2).pdf
Petition to Vacate
2023079833901 Chad M. Rogers CRD 4029698 AWC lp (2025-1755821998362).pdf
Between August 2022 and June 2023, while associated with IFP. Rogers impersonated 14 customers during 22 phone calls to his prior firm seeking 10 have his customers' accounts transferred to IFP or transfer funds to the customers' bank accounts. By virtue of this conduct. Rogers violated FINRA Rule 2010 and is suspended in all capacities for 45 days and fined $5,000.
conducL Rogers violated FINRA Rule 2010 and is suspended in all capacities for 45 days
and fined $5,000.
Anonymous Comment On Regulatory Notice 22-08
Dont make life hard
Thomas J. Lykos, Jr. 7-18-2025 (2025-1755821998550).pdf
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 103498 / July 18, 2025 Admin. Proc. File No. 3-20703 In the Matter of the Application of THOMAS J. LYKOS, JR.