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2022073296301 Anthony Neil Wenham CRD 4531762 Complaint lp (2024-1731198003315).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. ANTHONY NEIL WENHAM CRD No. 4531762, Respondent. Disciplinary Proceeding No. 2022073296301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between June 13, 2022, and August 26, 2022 (relevant period), while he was associated with Cantor Fitzgerald & Co.

2020068778601 Citadel Securities LLC CRD 116797 AWC gg (2024-1731111606057).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068778601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citadel Securities LLC (Respondent) Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216, Respondent Citadel Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2024081173101 Michael Lancaster CRD 6992330 AWC gg (2024-1731111606056).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081173101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Lancaster (Respondent) Former General Securities Representative CRD No. 6992330 Pursuant to FINRA Rule 9216, Respondent Michael Lancaster submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068719701 IMC Financial Markets CRD 104143 AWC gg (2024-1731111606168).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068719701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: IMC Financial Markets (Respondent) Member Firm CRD No. 104143 Pursuant to FINRA Rule 9216, Respondent IMC Financial Markets (IMC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.