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2023079086301 Rista S. Haque CRD 7698052 AWC vr (2024-1713399610323).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079086301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rista S. Haque (Respondent) CRD No. 7698052 Pursuant to FINRA Rule 9216, Respondent Rista S. Haque submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072581101 M1 Finance LLC CRD 281242 AWC vr (2024-1713399610327).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072581101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: M1 Finance LLC (Respondent) Member Firm CRD No. 281242 Pursuant to FINRA Rule 9216, Respondent M1 Finance LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

23-01961.pdf

23-00802.pdf

MRTS 2.0: A Redesign for a Rapidly Evolving Market

Recently, FINRA's Market Regulation and Transparency Services (MRTS) team realigned its structure around specific functions, rather than around specific rules or products. On this episode, we hear from three of the group's senior leaders to learn how the change allows MRTS to be more nimble in addressing and anticipating risks, to better leverage its data and more.

FINRA Fines M1 Finance $850,000 for Violations Regarding Use of Social Media Influencer Program

FINRA announced today that it has fined M1 Finance LLC $850,000 for social media posts made by influencers on the firm’s behalf that were not fair or balanced, or contained exaggerated, unwarranted, promissory, or misleading claims.

22-00388(4).pdf

Order to Vacate

23-01302(3).pdf

Motion to Vacate

22-00388(3).pdf

Motion to Vacate

23-01293.pdf

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