2022076459302 Jason Lee Pintus CRD 5239408 AWC vr (2023-1686183609450).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076459302
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jason Lee Pintus (Respondent)
Former General Securities Principal and Former General Securities Representative
CRD No. 5239408
Pursuant to FINRA Rule 9216, Respondent Jason Lee Pintus submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
FINRA Registration Systems Foundation In-Person Training
This training is designed for compliance personnel who are new to registration and licensing or need to become more familiar with navigating FINRA Gateway and submitting Uniform Forms (U4, U5, BR). Attendees are encouraged to bring their own laptops and personal system login to follow along with the training. Breakfast and lunch are provided. Space is limited, so register early.