2021071586901 Walton RE Securities, LLC CRD 172024 AWC lp (2024-1712190005054).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071586901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Walton RE Securities, LLC (Respondent)
Member Firm
CRD No. 172024
Pursuant to FINRA Rule 9216, Respondent Walton RE Securities submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2022076528901 Lawrence Richard Brockman CRD 1126810 AWC lp (2024-1712190005790).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076528901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Lawrence Richard Brockman (Respondent)
Former General Securities Representative
CRD No. 1126810
Pursuant to FINRA Rule 9216, Respondent Lawrence Richard Brockman submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023079298201 Douglas Bauerband CRD 2850269 AWC vr (2024-1712190004561).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079298201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Douglas Bauerband (Respondent)
Former Investment Company and Variable Contracts Products Representative; Former
Direct Participation Programs Representative
CRD No. 2850269
Pursuant to FINRA Rule 9216, Respondent Douglas Bauerband submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.