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

On February 21, 2025, Rutherford failed to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

From May 1, 2020 to August 31, 2020. and again from August 1, 2022 to October 14, 2022, Tifin conducted a securities business without maintaining the required minimum net capital, in violation of Sections 15(c) or the Securities Exchange Act of 1934 ("Exchange Act'") and Rule 15c3-1 promulgated thereunder and FINRA Rules 4110(b)(1) and 2010. ln addition. during these time periods, the firm did not prepare accurate net capital computations, and the firm filed inaccurate financial and Operational Combined Uniform Single ("FOCUS") reports and maintained inaccurate books and records.