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Former Chase Broker Initials And Signs His Way Out Of A Job

For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Taylor C. Parkin submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. In the Matter of Taylor C. Parkin, Respondent (AWC 20110269994101, March 27, 2013).