2021072127101 SoFi Securities LLC CRD 151717 AWC gg (2024-1704413997623).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072127101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: SoFi Securities LLC (Respondent)
Member Firm
CRD No. 151717
Pursuant to FINRA Rule 9216, Respondent SoFi 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.