2015046182402 VectorGlobal WMG CRD 32396 AWC va (2020-1592180369254).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046182402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: VectorGlobal WMG, Respondent Broker-Dealer CRD No. 32396 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VectorGlobal WMG (the "firm" or "VectorGlobal") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2019063140001 Brandon Rolle CRD 6097706 AWC va (2020-1592180369570).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063140001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brandon Rolle, Respondent General Securities Representative and Research Analyst CRD No. 6097706 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brandon Rolle ("Rolle" 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.

Regulatory Notice 20-14

Summary

Exchange-traded products (ETPs) provide different types of exposure to the oil market through several product structures, which some investors or investment professionals might not understand.1 Moreover, the performance of such products may be linked to unfamiliar indices or reference benchmarks, making them difficult for the average investor to comprehend.

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