2014041541401 Cabot Lodge Securities LLC CRD 159712 Complaint shl (2020-1580689169611).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cabot Lodge Securities LLC (CRD No. 159712), Respondent. Disciplinary Proceeding NO. 2014041541401 Hearing Officer: COMPLAINT The Department of Enforcement alleges: Summary 1. From August 2012 to February 2016 (the “Relevant Period"), Cabot Lodge Securities LLC (“Cabot Lodge" or the “Firm") participated in an initial public offering (“IPO") of a non-traded real estate investment trust (the “REIT") in which the

Technical Notice

CTCI Migration Production Test for TRACE and ORF

January 03, 2020

FINRA currently supports three methods for the reporting of transactions to its TRACE and Over-The -Counter Reporting (ORF) products – FIX, Computer-to-Computer Interface (CTCI) and TRAQS. As announced in August 2018, beginning in early first quarter 2020, FINRA will no longer support the CTCI protocol (CTCI/TCP; CTCI/MQ) for both TRACE and ORF transaction reporting.

2016051474801 Dash Financial Technologies LLC fka Dash Financial LLC and Electronic Brokerage Systems LLC CRD 104031 AWC va (2020-1580602768878).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051474801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dash Financial Technologies LLC (f/k/a Dash Financial LLC and Electronic Brokerage Systems LLC), Respondent Broker-Dealer CRD No.

2019062034601 Stephen Carver CRD 2230161 AWC va (2020-1580602768980).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062034601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Carver, Respondent Former General Securities Representative and General Securities Principal CRD No. 2230161 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stephen Carver submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061661601 John Joseph Cahill CRD 1240551 AWC va (2020-1580602770438).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061661601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Joseph Cahill, Respondent General Securities Representative CRD No. 1240551 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Joseph Cahill ("Cahill" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2017052543601 Cambridge Investment Research, Inc. CRD 39543 AWC jlg (2020-1580429973569).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052543601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cambridge Investment Research, Inc., Respondent Member Firm CRD No. 39543 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cambridge Investment Research, Inc. ("Cambridge" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

2017052392101 Microventure Marketplace Inc. CRD 152513 AWC jlg (2020-1580429974325).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052392101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Microventure Marketplace Inc., Respondent Member Firm CRD No. 152513 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Microventure Marketplace Inc. ("Microventure" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition
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