2023079739801 Christopher Frank Deo CRD 3145183 AWC vr (2024-1728001215952).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079739801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christopher Frank Deo (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 3145183
Pursuant to FINRA Rule 9216, Respondent Christopher Frank Deo submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
FINRA Campaign Urges New Investors to Take Key Steps Before Trading
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
2021071100401 Brex Treasury LLC CRD 299606 AWC lp (2024-1727655599455).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071100401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Brex Treasury LLC (Respondent)
Member Firm
CRD No. 299606
Pursuant to FINRA Rule 9216, Respondent Brex Treasury LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.