SIS Filings Due
FINRA-required filing for firms with a minimum dollar net capital requirement of $100,000 or more. Submitted on same schedule as FOCUS Report filing schedule applicable to each firm.
2023079694301 Yuqing Lin CRD 5939096 AWC gg (2024-1711585210566).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079694301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Yuqing Lin (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 5939096
Pursuant to FINRA Rule 9216, Respondent Yuqing Lin submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023079946001 Matthew A. Sinclair CRD 6702377 AWC gg (2024-1711585210692).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079946001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Matthew A. Sinclair (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 6702377
Pursuant to FINRA Rule 9216, Respondent Matthew A. Sinclair submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.