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2018059233001 Ustocktrade Securities, Inc. CRD 16208 AWC jlg (2020-1592439569451).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059233001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ustocktrade Securities, Inc. Respondent Member Firm CRD No. 16208 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ustocktrade Securities, Inc. ("Respondent" or "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Holiday Reminder Regarding TRACE Market Data

In observance of Memorial Day, the TRACE system will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.

Technical Notice
Holiday Reminder Regarding ORF Market Data
May 18, 2020

In observance of Memorial Day, the Over-the-Counter Reporting Facility (ORF) will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.

Technical Notice
Holiday Reminder Regarding TRF Market Data
May 18, 2020

In observance of Memorial Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.

Technical Notice
Holiday Reminder Regarding ADF Market Data
May 18, 2020

In observance of Memorial Day, the FINRA Alternative Display Facility (ADF) will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.

19-03458.pdf

19-02880.pdf

19-00804.pdf

2017055028101 Jason N. Dukas CRD 4188239 AWC va (2020-1592180369564).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055028101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason N. Dukas, Respondent Registered Representative CRD No. 4188239 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jason Dukas submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2015046847001 Lime Brokerage LLC CRD 104369 AWC va (2020-1592180370203).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046847001 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Lime Brokerage LLC, Respondent Broker-Dealer CRD No. 104369 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lime Brokerage LLC ("Lime," the "Firm" or "Respondent") 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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