2017053462401 Robert Henderson CRD 1160413 NAC Decision jlg (2023-1675037998876).pdf
BEFORE THE NATIONAL ADJUDICATORY COUNCIL
FINANCIAL INDUSTRY REGULATORY AUTHORITY
In the Matter of
Department of Enforcement, Complainant, vs. Robert Henderson
Miramar, FL,
Respondent.
DECISION
Complaint No. 2017053462401
Dated: December 29, 2022
Respondent engaged in unapproved outside business activities and willfully
failed to amend timely his Form U4 to disclose four federal tax liens. Held,
findings and sanctions affirmed.
Appearances For the Complainant: Megan Davis, Esq., Michael Perkins, Esq., Kay Lackey, Esq.,
2019061213301 Center Street Securities, Inc. CRD 26898 AWC va (2023-1675037998905).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061213301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Center Street Securities, Inc. (Respondent)
Member Firm
CRD No. 26898
Pursuant to FINRA Rule 9216, Respondent Center Street Securities, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020066189601 Clarence Smith CRD 2939228 AWC va (2023-1675037998924).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066189601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Clarence Smith (Respondent)
Investment Company Shares and Variable Contracts Representative and Direct
Participation Programs Representative
CRD No. 2939228
Pursuant to FINRA Rule 9216, Respondent Clarence Smith submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020065570301 CVCapital Securities, LLC CRD 152765 AWC va (2023-1675037996625).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065570301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: CVCapital Securities, LLC (Respondent)
Member Firm
CRD No. 152765
Pursuant to FINRA Rule 9216, Respondent CVCapital Securities, LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged
rule violations described below.