2021071475201 SG Americas Securties, LLC CRD 128351 AWC lp (2025-1736122798490).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071475201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SG Americas Securities, LLC (Respondent) Member Firm CRD No. 128351 Pursuant to FINRA Rule 9216, Respondent SG Americas 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.

2023080053401 Christopher Mullaly CRD 6345942 AWC gg (2025-1736122798495).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080053401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Mullaly (Respondent) Former Private Securities Offering Representative CRD No. 6345942 Pursuant to FINRA Rule 9216, Respondent Christopher Mullaly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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