2023078409001 Cole Schmitz CRD 7400235 AWC gg (2024-1732148401820).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078409001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Cole Schmitz (Respondent)
Former Associated Person
CRD No. 7400235
Pursuant to FINRA Rule 9216, Respondent Cole Schmitz submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
23-00015.pdf
Consolidated with 23-00013, 23-0017 and 23-00018
23-00017.pdf
Consolidated with 23-0013, 23-00015 and 23-0018
23-00018.pdf
Consolidated with 23-0013, 23-00015 and 23-0017
23-00013.pdf
Consolidated with 23-00015, 23-00017 and 23-00018
2019064742001 Fenix Securities, LLC CRD 159481 AWC lp (2024-1732148408069).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064742001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Fenix Securities, LLC (Respondent)
Member Firm
CRD No. 159481
Pursuant to FINRA Rule 9216, Respondent Fenix Securities, LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.