2021069383201 Home Financial Services, Inc. CRD 14716 AWC lp (2023-1702167598794).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069383201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Home Financial Services, Inc. (Respondent)
Member Firm
CRD No. 14716
Pursuant to FINRA Rule 9216, Respondent Home Financial Services, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022077355301 Commonwealth Australia Securities LLC CRD 136321 AWC lp (2023-1702167598763).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022077355301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Commonwealth Australia Securities LLC (Respondent)
Member Firm
CRD No. 136321
Pursuant to FINRA Rule 9216, Respondent Commonwealth Australia 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.