2021069319601 Rosenblatt Securities Inc. CRD No. 18377 AWC gg (2023-1678407614983).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069319601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Rosenblatt Securities Inc. (Respondent)
Member Firm
CRD No. 18377
Pursuant to FINRA Rule 9216, Respondent Rosenblatt Securities Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020068820101 Robin Bailey Liebes CRD 2362467 AWC lp (2023-1678407615077).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068820101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robin Bailey Liebes (Respondent)
General Securities Representative
CRD No. 2362467
Pursuant to FINRA Rule 9216, Respondent Robin Bailey Liebes submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
19-01230(3).pdf
other
21-02549(2).pdf
amended
2022073705601 SageTrader, LLC. CRD 137862 AWC lp (2023-1678407615397).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073705601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: SageTrader, LLC
(Respondent) Member Firm
CRD No. 137862
Pursuant to FINRA Rule 9216, Respondent SageTrader, LLC submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.