2018059192701 LPL Financial LLC CRD 6413 AWC va (2021-1612052398183).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059192701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: LPL Financial LLC (Respondent) Member Firm CRD No. 6413 Pursuant to FINRA Rule 9216, Respondent LPL Financial LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017056432602 Jason P. Collichio CRD 4727199 AWC sl (2021-1612052398322).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056432602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason P. Collichio (Respondent) General Securities Principal CRD No. 4727199 Pursuant to FINRA Rule 9216, Respondent Jason P. Collichio 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

2017055691901 Deutsche Bank Securities Inc. CRD 2525 AWC sl.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055691901 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. (DBSI) 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

2018059389401 SG Americas Securities, LLC CRD 128351 AWC sl (2021-1612052398130).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059389401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SG Americas Securities, LLC (Respondent) Member Firm CRD No. 128351 Pursuant to FINRA Rule 9216, Respondent SG Americas Securities, LLC (SGAS) 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

2017056432601 Worden Capital Management LLC CRD 148366 Jamie J. Worden CRD 4637404 AWC sl (2021-1612052397958).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056432601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Worden Capital Management LLC (Respondent) Member Firm CRD No. 148366 Jamie J. Worden (Respondent) General Securities Principal CRD No. 4637404 Pursuant to FINRA Rule 9216, Respondents Worden Capital Management LLC (WCM) and Jamie J. Worden (Worden) submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing
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