2022076420001 Cynthia Beyerlein CRD 4320421 AWC lp (2024-1715473216532).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076420001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Cynthia Beyerlein (Respondent)
Former General Securities Representative
CRD No. 4320421
Pursuant to FINRA Rule 9216, Respondent Cynthia Beyerlein submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018056490310 Thomas J. Baumann CRD 5254392 Complaint gg (2024-1715386810338).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement,
Complainant,
v.
Thomas J. Baumann
(CRD No. 5254392),
Respondent.
Disciplinary Proceeding
No. 2018056490310
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. Respondent Thomas J. Baumann (“Baumann”) failed to provide information and documents that FINRA requested pursuant to FINRA Rule 8210 as part of its investigation into whether Baumann engaged in unauthorized trading in the account of a customer. As a result, Baumann violated FINRA Rules 8210 and 2010.
2018060895201 DAI Securities, LLC CRD 36673 AWC lp (2024-1715386810334).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018060895201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: DAI Securities, LLC, formerly known as Lewis Financial Group, L.C. (Respondent)
Member Firm
CRD No. 36673
Pursuant to FINRA Rule 9216, Respondent DAI 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.