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2018059770401 Michael Anthony Bastardi CRD 6015424 AWC jm (2019-1563542360480).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059770401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Anthony Bastardi, Respondent CRD No. 6015424 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Michael Anthony Bastardi ("Respondent" or "Bastardi") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

2018057545401 Alexander Michael Panas, III CRD 2249803 AWC va (2019-1563542360455).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057545401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alexander Michael Panas, III, Respondent CRD No. 2249803 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Alexander Michael Panas, III ("Panas" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

2017055788302 Lisa Jeanne Lastrapes CRD 2739854 AWC jm (2019-1563542367641).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055788302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lisa Jeanne Lastrapes, Respondent General Securities Representative CRD No. 2739854 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lisa Jeanne Lastrapes ("Lastrapes" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

2017054478001 U.S. Boston Capital Corporation CRD 5251 AWC sl (2019-1563547761100).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054478001 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: U.S. Boston Capital Corporation, Respondent CRD No. 5251 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, U.S. Boston Capital Corporation (“USB” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

2016051209102 Spencer Edwards, Inc. SEI CRD 22067 AWC jm (2019-1563547760964).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051209102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Spencer Edwards, Inc. ("SEI"), Respondent CRD No. 22067 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SEI submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2018057109501 Jason Nelson CRD 4824535 AWC va (2019-1563547761161).PDF

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057109501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jason Nelson, Respondent Former Registered Representative CRD No. 4824535 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jason Nelson ("Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2017052842901 Robert W. Baird CRD 8158 AWC va (2019-1563547760840).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052842901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert W. Baird & Co. Incorporated, Respondent Broker-Dealer CRD No. 8158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert W. Baird & Co. Incorporated ("Baird" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

2018057366301 Nina S. Jessee CRD 1484808 AWC jm (2019-1563547761414).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057366301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nina S. Jessee, Respondent Former Registered Representative CRD No. 1484808 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Nina S. Jessee, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2019061655701 Nicolas J. Barrios CRD 2122824 AWC jm (2019-1563547775345).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061655701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nicolas J. Barrios, Respondent Former Registered Representative CRD No. 2122824 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Nicolas J. Barrios, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2017053428201 DreamFunded Marketplace CRD 283594 and Manuel Fernandez CRD 6639970 Extended Hearing Panel Decision va (2019-1563547760330).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DREAMFUNDED MARKETPLACE, LLC (CRD No. 283594), and MANUEL FERNANDEZ (CRD No. 6639970), Respondents. Disciplinary Proceeding No. 2017053428201 Hearing Officer-LOM EXTENDED HEARING PANEL DECISION June 5, 2019 Respondent DreamFunded Marketplace, LLC, was registered with FINRA as a funding portal member, and its co-founder and Chief Executive Officer, Respondent Manuel Fernandez, was an associated