2018060263201 SI Securities, LLC CRD 170937 AWC gg (2024-1722558009478).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018060263201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: SI Securities, LLC (Respondent)
Member Firm
CRD No. 170937
Pursuant to FINRA Rule 9216, Respondent SI 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.
2020067795501 Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 AWC gg (2024-1722558010213).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067795501
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.
2019063914601 RBC Capital Markets, LLC CRD 31194 AWC gg (2024-1722558009697).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063914601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: RBC Capital Markets, LLC (Respondent)
Member Firm
CRDNo. 31194
Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.