Skip to main content

2014043121001 Deutsche Bank Securities Inc. CRD 2525 AWC sl (2021-1633911609277).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014043121001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deutsche Bank Securities Inc., Respondent Member Firm CRD No. 2525 Pursuant to FINRA Rule 9216, Respondent Deutsche Bank Securities Inc. 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

2019061061001 SogoTrade, Inc. CRD 17912 AWC jlg (2021-1633911609322).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT 2019061061001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SogoTrade, Inc. (Respondent) Member Firm CRD No. 17912 Pursuant to FINRA Rule 9216, Respondent SogoTrade, Inc. 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, if accepted, FINRA will not

2020066718901 Jacob Popek CRD 6815448 AWC jlg (2021-1633911608485).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066718901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jacob Popek (Respondent) Former General Securities Representative CRD No. 6815448 Pursuant to FINRA Rule 9216, Respondent Jacob Popek 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