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2016048835401 Beta Capital Securities LLC CRD 38964 AWC va.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048835401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Beta Capital Securities LLC, Respondent Broker-Dealer CRD No. 38964 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Beta Capital Securities LLC ("Beta 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 described below.

2018057116501 Canaccord Genuity LLC CRD 1020 AWC va.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057116501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity LLC, Respondent Member Firm CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Canaccord Genuity LLC ("Canaccord," "Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2018058699101 Richard C. Berg CRD 1233833 AWC va.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058699101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard C. Berg CRD No. 1233833 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.