FOCUS Part II/IIA - Quarterly Filings Due
SEC-required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.
FOCUS Part II/IIA - Quarterly Filings Due
SEC-required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.
FOCUS Part II/IIA - Quarterly Filings Due
SEC-required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.
FOCUS Part II/IIA - Monthly Filings Due
SEC required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.
FOCUS Part II/IIA - Monthly Filings Due
SEC required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.
FOCUS Part II/IIA - Monthly Filings Due
SEC required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.
FOCUS Part II/IIA - Monthly Filings Due
SEC required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.
FOCUS Part II/IIA - Monthly Filings Due
SEC required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.
2023077914601 Ramses David Visher CRD 6012559 AWC gg (2024-1711585210852).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023077914601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Ramses David Visher (Respondent)
Former General Securities Representative
CRD No. 6012559
Pursuant to FINRA Rule 9216, Respondent Ramses David Visher submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
FOCUS Part II/IIA - Monthly Filings Due
SEC required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.