2023077701101 Gabriel Ruiz CRD 7426643 AWC lp (2024-1716078011412).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023077701101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Gabriel Ruiz (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 7426643
Pursuant to FINRA Rule 9216, Respondent Gabriel Ruiz submits this Letter of Acceptance, Waiver,
and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations
described below.
2020069057401 Larry J. Michaels CRD 4351477 AWC lp.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020069057401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Larry J. Michaels (Respondent)
General Securities Representative, General Securities Principal
CRD No. 4351477
Pursuant to FINRA Rule 9216, Respondent Larry Michaels submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
SR-FINRA-2024-005
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to retire the FINRA Rule 10000 Series (Code of Arbitration Procedure) that governs arbitration and mediation claims filed in the forum administered by FINRA Dispute Resolution Services (“DRS”) prior to April 16, 2007.