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2017053210201 Sagetrader, LLC CRD 137862 AWC gg (2022-1660954817811).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017053210201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sagetrader, LLC (Respondent) Member Firm CRD No. 137862 Pursuant to FINRA Rule 9216, Respondent Sagetrader, LLC (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.

SR-FINRA-2022-020

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until October 20, 2022.  

2021070771601 Michael Hong Cho CRD 2456460 AWC va (2022-1660868419288).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070771601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Hong Cho (Respondent) General Securities Representative CRD No. 2456460 Pursuant to FINRA Rule 9216, Respondent Michael Hong Cho submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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