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2019062980701 Dennis J. Murphy CRD 4840274 AWC sl (2020-1592525969095).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062980701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dennis J. Murphy, Respondent Former General Securities Representative, General Securities Principal, and Compliance Officer CRD No. 4840274 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Dennis J. Murphy submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule

2016048498401 CODA Markets, Inc CRD 36187 AWC sl (2020-1592525967181).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048498401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: CODA Markets, Inc., Respondent Member Firm CRD No. 36187 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, CODA Markets, Inc. (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. This AWC is submitted on the

2017054405401 William Joseph Kielczewski CRD 4034356 OHO Decision jlg (2020-1592439569459).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM JOSEPH KIELCZEWSKI (CRD No. 4034356), Respondent. Disciplinary Proceeding No. 2017054405401 Hearing Officer–DRS EXTENDED HEARING PANEL DECISION May 15, 2020 For engaging in private securities transactions, making false statements to his member firm employer, and willfully causing the firm to file a misleading initial Uniform Application for Securities Industry Registration or Transfer (Form U4) and four Form U4 amendments,

2019061903401 Benjamin Leitman CRD 5698076 AWC jlg (2020-1592439572137).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061903401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Benjamin Leitman, Respondent General Securities Representative CRD No. 5698076 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Benjamin Leitman ("Leitman" 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.

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.