2019063203501 Natixis Securities Americas LLC CRD 1101 AWC jlg (2022-1650673218191).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063203501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Natixis Securities Americas LLC (Respondent) Member Firm CRD No. 1101 Pursuant to FINRA Rule 9216, Respondent Natixis Securities Americas LLC (NSA) 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

Anonymous Comment On Regulatory Notice 22-08

As a former complex product supervisor for one of the largest broker-dealers in the nation and which is probably the highest producing structured product firm, I would like to make some comments on the practices employed by them and in the industry by general. First of all the process in getting an account approved for structured notes and options is largely a joke. Anyone from an 18 year old fresh out of high school wanting to invest their graduation money to a 93 year senior citizen in a senior living facility gets approved.

2019061596401 BD4RIA, Inc. CRD 290240 AWC sl (2022-1650586827735).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061596401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BD4RIA, Inc. (Respondent) Member Firm CRD No. 290240 Pursuant to FINRA Rule 9216, Respondent BD4RIA, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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