2022073296301 Anthony Neil Wenham CRD 4531762 Complaint lp (2024-1731198003315).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement, Complainant, v.
ANTHONY NEIL WENHAM
CRD No. 4531762, Respondent.
Disciplinary Proceeding No. 2022073296301
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. Between June 13, 2022, and August 26, 2022 (relevant period), while he was
associated with Cantor Fitzgerald & Co.
24-00392(4).pdf
motion to vacate
2020068778601 Citadel Securities LLC CRD 116797 AWC gg (2024-1731111606057).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068778601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Citadel Securities LLC (Respondent)
Member Firm
CRD No. 116797
Pursuant to FINRA Rule 9216, Respondent Citadel 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.
2024081173101 Michael Lancaster CRD 6992330 AWC gg (2024-1731111606056).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081173101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Michael Lancaster (Respondent)
Former General Securities Representative
CRD No. 6992330
Pursuant to FINRA Rule 9216, Respondent Michael Lancaster submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020068719701 IMC Financial Markets CRD 104143 AWC gg (2024-1731111606168).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068719701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: IMC Financial Markets (Respondent)
Member Firm
CRD No. 104143
Pursuant to FINRA Rule 9216, Respondent IMC Financial Markets (IMC) submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.