2017052741001 Cantor Fitzgerald & Co. CRD 134 AWC jlg (2020-1593994785854).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052741001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Member Firm CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cantor Fitzgerald & Co., ("the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2018058852901 Quinn D. Campbell CRD 4528976 AWC jlg (2020-1593994769424).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058852901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Quinn Daniel Campbell, Respondent General Securities Representative CRD No. 4528976 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Quinn D. Campbell (“Campbell” 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.

2017054054101 Electronic Transaction Clearing, Inc. CRD 146122 AWC jlg (2020-1593994768802).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054054101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Electronic Transaction Clearing, Inc., Respondent Member Firm CRD No. 146122 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Electronic Transaction Clearing, Inc. (ETC or the Firm) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017053051001 TPEG Securities, LLC CRD 146726 AWC sl (2020-1593994768058).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053051001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TPEG Securities, LLC, Respondent Member Firm CRD No. 146726 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent TPEG Securities, LLC (“TPEG Securities” or the “Firm”) 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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