2019062705801 SoFi Securities LLC CRD 151717 AWC gg.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019062705801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: SoFi Securities LLC (Respondent)
Member Film
CRD No. 151717
Pursuant to FINRA Rule 9216, Respondent SoFi Securities LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the propose of proposing a settlement of the
alleged rule violations described below.
2023078749801 Michael Gerard Gravelyn CRD 6569005 AWC lp.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078749801
Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
Michael Gerard Gravelyn (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 6569005
Pursuant to FINRA Rule 9216, Respondent Michael Gerard Gravelyn submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023079747801 Gloria R. Geslak CRD 5314848 AWC vr.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO.2023079747801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Gloria R. Geslak (Respondent)
Associated Person
CRD No. 5314848
Pursuant to FINRA Rule 9216, Respondent Gloria R. Geslak submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.