2021070414101 William A. Massarweh CRD 4040459 AWC gg (2023-1676852399247).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070414101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: William A. Massarweh (Respondent)
Former General Securities Representative and Former Investment Company and Variable
Contracts Products Representative
CRD No. 4040459
Pursuant to FINRA Rule 9216, Respondent William A. Massarweh submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
Succession planning is important not just for customers and representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we hear how and why firms should plan for the expected and unexpected in life.
2021070740701 Matthew G. Barks CRD 6372903 AWC va (2023-1676852397678).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070740701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Matthew G. Barks (Respondent)
Form Investment Company and Variable Contracts Products Representative
CRD No. 6372903
Pursuant to FINRA Rule 9216, Respondent Matthew G. Barks submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020068558701 BGC Financial, L.P. CRD 19801 AWC va (2023-1676852400276).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068558701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: BGC Financial, L.P. (Respondent)
Member Firm
CRD No. 19801
Pursuant to FINRA Rule 9216, Respondent BGC Financial, L.P. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021071994802 Paulson Investment Company, LLC CRD 5670 AWC va (2023-1676852400468).pdf
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071994802
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Paulson Investment Company, LLC (Respondent)
Member Firm
CRD No. 5670
Pursuant to FINRA Rule 9216, Respondent Paulson Investment Company, LLC submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
