FINRA OTC Transparency Data Changes Delayed to Monday, December 2, 2019

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047616401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alexander Capital, L.P., Respondent Member Firm BD No. 40077 Thomas Sullivan, Respondent Financial Operations Principal CRD No. 1145000 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Alexander Capital, L.P.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050784101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aurora Capital LLC, Respondent Member Firm CRD No. 37924 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Aurora Capital LLC ("Aurora Capital" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058765701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael G. King, Jr., Respondent Former General Securities Representative and General Securities Principal CRD No. 1264094 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael G. King, Jr. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.