Richard C. Dergance Jr. (CRD # 4143798, Registered Representative, Las Vegas, Nevada) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000, suspended from association with any FINRA member in any capacity for four months and ordered to disgorge $18,541, plus interest, in commissions as partial restitution to public customers. The fine and restitution must be paid either immediately upon Dergance’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier. Without admitting or denying the findings, Dergance consented to the described sanctions and to the entry of findings that he participated in private securities transactions, for compensation, without prior written notice to his member firm.   (FINRA Case # 20070081647-01)

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