2023080783201 Citigroup Global Markets, Inc. CRD No. 7059 AWC gg (2025-1738282793208).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023080783201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Citigroup Global Markets Inc. (Respondent)
Member Firm
CRD No. 7059
Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. (CGMI) submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
2020065101601 Barclays Capital Inc. CRD 19714 AWC gg (2025-1738282793199).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065101601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Barclays Capital Inc. (Respondent)
Member Firm
CRD No. 19714
Pursuant to FINRA Rule 9216, Respondent Barclays Capital Inc. (Barclays) submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022076156301 UBS Financial Services Inc. CRD 8174 AWC gg (2025-1738196398354).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076156301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: UBS Financial Services Inc. (Respondent)
Member Firm
CRD No. 8174
Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. (UBS FSI) submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
Regulatory Notice 25-01
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after January 1, 2025.
2022073421503 Vincent LaBarbara, CRD 1108987 AWC gg (2025-1738196399239).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073421503
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Vincent W. LaBarbara (Respondent)
General Securities Representative
CRD No. 1108987
Pursuant to FINRA Rule 9216, Respondent Vincent W. LaBarbara submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022075315101 Interactive Brokers LLC, CRD 36418 AWC gg (2025-1738196398351).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075315101
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 (Interactive) submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.