Annual Reports Due
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
Annual Reports Due
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
Annual Reports Due
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
Annual Reports Due
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
2020066888401 Leonid Yurovsky CRD 4554905 AWC geg (2023-1674778810078).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066888401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Leonid Yurovsky (Respondent)
General Securities Representative
CRD No. 4554905
Pursuant to FINRA Rule 9216, Respondent Leonid Yurovsky submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022074626901 John Matthew Underation CRD 4273996 AWC va (2023-1674778810116).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074626901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John Matthew Underation (Respondent)
Former General Securities Representative
CRD No. 4273996
Pursuant to FINRA Rule 9216, Respondent John Matthew Underation submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.