It has been determined that the Offer be accepted and that findings be made as follows: Between June 13, 2022, and August 26, 2022 (relevant period), while he was associated with Cantor Fitzgerald & Co. (Cantor), Respondent Anthony Neil Wenham recorded or caused to be recorded 440 inaccurate marks for four forward start reverse repurchase positions (Positions 1-4) in his trading book at the firm, thereby concealing unrealized losses. By reason of the foregoing, Wenham falsified firm records and therefore violated FINRA Rule 2010....

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Alpine Securities Corporation, Salt Lake City, UT, Respondent. DECISION Complaint No. 2019061232601 Dated: March 25, 2025. Member charged an unreasonable and unfairly discriminatory fee, made unauthorized securities transactions, misused and converted customer assets, priced securities trades unfairly, and made an unauthorized capital withdrawal. Held, findings affirmed in part and modified, and sanctions modified.

Palma refused to produce information and documents requested pursuant to FINRA Rule 8210. As a result, Palma violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

From April 2019 to June 2022, UFP and Dickerson failed to establish and maintain a reasonable supervisory system, including written procedures, reasonably designed to supervise the outside brokerage accounts disclosed by its registered representatives pursuant to FINRA Rule 3210.