2019061903401 Benjamin Leitman CRD 5698076 AWC jlg (2020-1592439572137).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061903401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Benjamin Leitman, Respondent General Securities Representative CRD No. 5698076 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Benjamin Leitman ("Leitman" 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.

2018059233001 Ustocktrade Securities, Inc. CRD 16208 AWC jlg (2020-1592439569451).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059233001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ustocktrade Securities, Inc. Respondent Member Firm CRD No. 16208 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ustocktrade Securities, Inc. ("Respondent" or "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017055028101 Jason N. Dukas CRD 4188239 AWC va (2020-1592180369564).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055028101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason N. Dukas, Respondent Registered Representative CRD No. 4188239 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jason Dukas submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to