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

2018058481501 Bruno H. Silva CRD 6820531 AWC jlg (2020-1580429972262).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058481501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bruno H. Silva, Respondent General Securities Representative CRD No. 6820531 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bruno H. Silva 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

2015045677201 TD Ameritrade, Inc. CRD 7870 AWC jlg (2020-1580343565764).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045677201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TD Ameritrade, Inc., Respondent Member Firm CRD No. 7870 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent TD Ameritrade, Inc. (the "Firm" 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

2016050948101 Oppenheimer & Co. Inc. CRD 249 AWC jlg (2020-1580343566036).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050948101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Oppenheimer & Co. Inc., Respondent Member Firm CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Oppenheimer & Co. Inc. ("Oppenheimer" 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.
Subscribe to