FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059045003 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Traderfield Securities, Inc. (Respondent) Member Firm CRD No. 20130 Mario Divita (Respondent) General Securities Principal CRD No. 1504199 Pursuant to FINRA Rule 9216, Respondents Traderfield Securities, Inc. (Traderfield) and Mario Divita (Divita) submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel Della Rosa CRD No. 2468171, Respondent. Disciplinary Proceeding No. 2020065714602 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel Della Rosa failed to provide information and documents and also failed to appear for on-the-record (OTR) testimony requested by FINRA staff pursuant to FINRA Rule 8210. The documents, information and testimony requested were material to