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.