2018059279201 TD Securities (USA) LLC CRD 18476 AWC lp (2024-1730334014593).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018059279201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: TD Securities (USA) LLC (Respondent)
Member Firm
CRD No. 18476
Pursuant to FINRA Rule 9216, Respondent TD Securities (USA) LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2019062983001 Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 AWC vr (2024-1730334014639).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019062983001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent)
Member Firm
CRD No. 7691
Pursuant to FINRA Rule 9216, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2024081749201 Brian S. Graham CRD 2581633 AWC vr (2024-1730334014511).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081749201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Brian S. Graham (Respondent)
Former General Securities Representative
CRD No. 2581633
Pursuant to FINRA Rule 9216, Respondent Brian S. Graham submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020068885402 Cambridge International Securities, LLC CRD 39137 AWC lp (2024-1730334014702).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068885402
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Cambridge International Securities, LLC (Respondent)
Member Firm
CRD No. 39137
Pursuant to FINRA Rule 9216, Respondent Cambridge International 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.
The Victim Experience: When Romance Leads to a Crypto Scam
Falling victim to a scam carries more than just a financial impact. It can be an isolating experience and exact a mental and emotional toll. On this episode, we hear about the experience of two real life victims and their efforts to recover from their loss with the help of the Cybercrime Support Network.