FINRA Is Open

2018059519001 Virtu Americas LLC CRD 149823 AWC gg (2025-1737591594649).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059519001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Virtu Americas LLC (Respondent) Member Firm CRD No. 149823 Pursuant to FINRA Rule 9216, Respondent Virtu Americas LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076210801 Emilio Guajardo, Jr. CRD 4871764 AWC gg (2025-1737591594656).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2022076210801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Emilio Guajardo, Jr. (Respondent) Former General Securities Representative CRD No. 4871764 Pursuant to FINRA Rule 9216, Respondent Emilio Guajardo, Jr., ("Guajardo"), submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078308801 Steven Michael Blanchard CRD 6042470 AWC gg (2025-1737591594637).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078308801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Michael Blanchard (Respondent) Former General Securities Representative CRD No. 6042470 Pursuant to FINRA Rule 9216, Respondent Steven Michael Blanchard submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065501201 J.P. Morgan Securities LLC CRD 79 AWC gg (2025-1737591594801).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065501201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J.P. Morgan Securities LLC (Respondent) Member Firm CRD No. 79 Pursuant to FINRA Rule 9216, Respondent J.P. Morgan Securities LLC (JPMS) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Sorin Sandru Comment On Regulatory Notice 24-13

I think that pattern day trading rule for accounts less than $25000 is unfair and I like to be cancelled because small investors like me with account $2000 lose money because of this rule.

Exemple

on 12/11/12 I had 3 day trades in 5 trading days and I traded earnings on C3AI and because I can not sold the stocks because then my account will be restricted because the stock rises and then fall out I lost in few hours $200.I closed the stock next day with a list of money.

Subscribe to