2022074096801 Eric R. Tartaglione CRD 2722931 AWC gg (2023-1692577204961).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074096801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Eric R. Tartaglione (Respondent)
General Securities Representative
CRD No. 2722931
Pursuant to FINRA Rule 9216, Respondent Eric Tartaglione submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020065465801 Instinet, LLC CRD 7897 AWC lp (2023-1692577204941).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065465801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Instinet, LLC (Respondent)
Member Firm
CRD No. 7897
Pursuant to FINRA Rule 9216, Respondent Instinet, LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
