2022073708202 Steve Allen Moise CRD 4995443 AWC lp.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073708202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steve Allen Moise (Respondent) Former General Securities Representative CRD No. 4995443 Pursuant to FINRA Rule 9216, Respondent Steve Allen Moise submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 24-09

Summary

Artificial intelligence (AI), including large language models (LLMs) and other generative AI (Gen AI) tools, present promising opportunities for member firms to enhance their products and services for investors and achieve operational and compliance efficiencies. As member firms incorporate the use of Gen AI or similar tools into their businesses, they should be mindful of the potential implications for their regulatory obligations.

2024081517201 Bryan Noonan CRD 4864372 AWC vr.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081517201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan Noonan (Respondent) General Securities Representative CRD No. 4864372 Pursuant to FINRA Rule 9216, Respondent Bryan Noonan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2024081405101 Lauren C. McNeill CRD 5674219 AWC vr.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081405101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lauren Catherine McNeill (Respondent) General Securities Representative CRD No. 5674219 Pursuant to FINRA Rule 9216, Respondent Lauren Catherine McNeill submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075350201 Ronald Gene Chronister CRD 3255653 AWC gg.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075350201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald Gene Chronister (Respondent) Registered Representative CRD No. 3255653 Pursuant to FINRA Rule 9216, Respondent Ronald Gene Chronister submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022074794901 Thomas Reyes CRD 3168338 AWC lp.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074794901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Reyes (Respondent) Former General Securities Representative and General Securities Principal CRD No. 3168338 Pursuant to FINRA Rule 9216, Respondent Thomas Reyes submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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