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2020067770401 Wolfe Research Securities CRD 151850 AWC jlg (2022-1650759632573).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067770401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wolfe Research Securities (Respondent) Member Firm CRD No. 151850 Pursuant to FINRA Rule 9216, Respondent Wolfe Research Securities submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

2019061232601 Alpine Securities Corporation CRD 14952 Decision sl (2022-1650673217530).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALPINE SECURITIES CORPORATION (CRD No. 14952), Respondent. Disciplinary Proceeding No. 2019061232601 Hearing Officer-CC EXTENDED HEARING PANEL DECISION March 22, 2022 Member firm Alpine Securities Corporation converted and misused customer funds and securities, engaged in unauthorized trading, charged and paid customers unfair prices in securities transactions, charged customers unreasonable and discriminatory

2019064898601 Arkady Ginsburg CRD 5256747 AWC sl (2022-1650673217200).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064898601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arkady Ginsburg (Respondent) General Securities Representative CRD No. 5256747 Pursuant to FINRA Rule 9216, Respondent Arkady Ginsburg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.