2020066852401 TerraNova Capital Equities, Inc. CRD 45097 AWC lp (2024-1708561203800).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066852401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TerraNova Capital Equities, Inc. (Respondent) Member Firm CRD No. 45097 Pursuant to FINRA Rule 9216, Respondent TerraNova Capital Equities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023080714501 Michael Archimede CRD 5701306 AWC lp (2024-1708561199583).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080714501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Archimede (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5701306 Pursuant to FINRA Rule 9216, Respondent Michael Archimede submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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