2022076585601 Place Trade Financial CRD 126867 AWC geg (2024-1727569209467).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076585601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Place Trade Financial, Inc. (Respondent) Member Firm BD No. 126867 Pursuant to FINRA Rule 9216, Respondent Place Trade Financial, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057297102 MARK SAM KOLTA CRD5324620 Extended Hearing Panel Decision df (2024-1727569209686).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARK SAM KOLTA (CRD No. 5324620), Respondent. Disciplinary Proceeding No. 2018057297102 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION Date: August 15, 2024 Respondent Mark Sam Kolta made unsuitable recommendations to 16 customers to invest $4.8 million in a real estate investment trust, or REIT.

T + 1

This course reviews rule changes related to the recent transition to T + 1 settlement. It also discusses best practices to help firms comply with these changes and prevent fails to deliver of securities.

Estimated Completion Time: 15 Minutes

Regulation SHO

This course reviews the regulatory obligations for individuals entering short orders and examines the red flags of manipulative behavior related to these trades.

Estimated Completion Time: 20 Minutes

Subscribe to