21-01354(5).pdf
Motion to vacate
2021070970501 H2C Securities Inc. CRD 7169 AWC vr (2024-1714350010136).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070970501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: H2C Securities Inc. (Respondent)
Member Firm
CRD No. 7169
Pursuant to FINRA Rule 9216, Respondent H2C 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.
2023078663802 Christopher Gerard Perillo CRD 7589151 AWC vr (2024-1714350010417).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078663802
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christopher Gerard Perillo (Respondent)
Former Municipal Securities Representative
CRD No. 7589151
Pursuant to FINRA Rule 9216, Respondent Christopher Perillo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2021069366201 Christopher M. Watkins CRD 2376887 AWC gg (2024-1714350010231).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069366201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christopher M. Watkins (Respondent)
Former General Securities Representative
CRD No. 2376887
Pursuant to FINRA Rule 9216, Respondent Christopher M. Watkins submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019064430601 Jason W. Wolter CRD 2934037 AWC gg (2024-1714350009757).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064430601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jason W. Wolter (Respondent)
General Securities Representative
CRD No. 2934037
Pursuant to FINRA Rule 9216, Respondent Jason W. Wolter submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.