2020068953101 M1 Finance LLC CRD 281242 AWC vr.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068953101
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 (M1 Finance) submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged
rule violations described below.