2023076997901 Sustainable Development Capital, LLC CRD 156046 AWC lp (2024-1732321201247).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023076997901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sustainable Development Capital, LLC (Respondent) Member Firm CRD No. 156046 Pursuant to FINRA Rule 9216, Respondent Sustainable Development Capital, LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077754402 Colton Wade Jacob CRD 6602283 AWC gg (2024-1732234804344).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077754402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Colton W. Jacob (Respondent) Former General Securities Representative CRD No. 6602283 Pursuant to FINRA Rule 9216, Respondent Colton Wade Jacob submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069316201 Interactive Brokers LLC CRD 36418 AWC gg (2024-1732234805574).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069316201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Interactive Brokers LLC (Respondent) Member Firm CRD No. 36418 Pursuant to FINRA Rule 9216, Respondent Interactive Brokers LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063686209 William Campbell CRD 1180015 AWC vr (2024-1732234805354).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063686209 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Campbell (Respondent) Former General Securities Representative CRD No. 1180015 Pursuant to FINRA Rule 9216, Respondent William Campbell submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077823001 Steven P. McCormick CRD 5059233 AWC vr (2024-1732234805712).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2023077823001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven P. McCormick (Respondent) General Securities Representative CRD No. 5059233 Pursuant to FINRA Rule 9216, Respondent Steven P. McCormick submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077754401 Vincent Connor Fuchs CRD 6602274 AWC vr (2024-1732234805252).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077754401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent Connor Fuchs (Respondent) Former General Securities Representative CRD No. 6602274 Pursuant to FINRA Rule 9216, Respondent Vincent Connor Fuchs submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to