2024082145701 Jonathan Neil Vagle CRD 4056836 AWC gg (2024-1732321201244).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082145701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jonathan Neil Vagle (Respondent) Former General Securities Representative CRD No. 4056836 Pursuant to FINRA Rule 9216, Respondent Jonathan Neil Vagle submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060897304 Christopher J. Shaw CRD 5011382 AWC lp (2024-1732321201246).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060897304 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher J. Shaw (Respondent) Former General Securities Representative CRD No. 5011382 Pursuant to FINRA Rule 9216, Respondent Christopher J. Shaw submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINRA Highlights Metaverse Impact on Securities Industry

The report is intended to raise awareness among FINRA member firms and the broader securities industry by providing an overview of how developments related to the metaverse may impact business models and processes. While the true implications of the metaverse may not be known for years, the report analyzes potential applications, use cases and challenges for member firms and notes certain regulatory considerations.

2022076186101 ViewTrade Securities, Inc. CRD 46987 AWC lp (2024-1732321201236).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076186101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ViewTrade Securities, Inc. (Respondent) Member Firm CRD No. 46987 Pursuant to FINRA Rule 9216, Respondent ViewTrade Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023076997901 Sustainable Development Capital, LLC CRD 156046 AWC lp (2024-1732321201247).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023076997901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sustainable Development Capital, LLC (Respondent) Member Firm CRD No. 156046 Pursuant to FINRA Rule 9216, Respondent Sustainable Development Capital, LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077754402 Colton Wade Jacob CRD 6602283 AWC gg (2024-1732234804344).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077754402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Colton W. Jacob (Respondent) Former General Securities Representative CRD No. 6602283 Pursuant to FINRA Rule 9216, Respondent Colton Wade Jacob submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069316201 Interactive Brokers LLC CRD 36418 AWC gg (2024-1732234805574).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069316201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Interactive Brokers LLC (Respondent) Member Firm CRD No. 36418 Pursuant to FINRA Rule 9216, Respondent Interactive Brokers LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to