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2020067814802 Tarek Mohsen Mohamed CRD 6717691 Order Accepting Offer sl (2022-1645921205360).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tarek Mohsen Mohamed (CRD No. 6717691), Respondent. Disciplinary Proceeding No. 2020067814802 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 27, 2022 INTRODUCTION Disciplinary Proceeding No. 2020067814802 was filed on December 29, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Tarek Mohsen Mohamed submitted an

2016050924601 File No 3-19589 Bradley C. Reifler CRD 1589414 SEC Decision jlg (2022-1645921205557).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 94026 / January 21, 2022 Admin. Proc. File No. 3-19589 In the Matter of the Application of BRADLEY C. REIFLER For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING Registered securities association found that a person formerly associated with a member firm failed to respond to its requests for information at two on-the-record

2021072110901 Mark Smith CRD 5776360 AWC jlg (2022-1645921205639).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072110901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark Smith (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5776360 Pursuant to FINRA Rule 9216, Respondent Mark Smith 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

2017053847701 DriveWealth Institutional LLC fka Cuttone & Co., LLC CRD 33038 AWC sl (2022-1645834803925).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017053847701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: DriveWealth Institutional LLC (f/k/a Cuttone & Co., LLC) (Respondent) Member Firm CRD No. 33038 Pursuant to FINRA Rule 9216, Respondent DriveWealth Institutional LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.