SR-FINRA-2023-003
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to amend FINRA rules to address duplicative requirements.
2017056516801 Lighthouse Capital Group, LLC CRD 169135 AWC lmp (2023-1680308410491).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2017056516801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Lighthouse Capital Group, LLC (Respondent)
Member Firm
CRD No. 169135
Pursuant to FINRA Rule 9216, Respondent Lighthouse Capital Group, LLC submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
