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2017052330501 Triad Advisors, LLC CRD 25803 AWC jlg (2021-1615508403618).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052330501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Triad Advisors, LLC (Respondent) Member Firm CRD No. 25803 Pursuant to FINRA Rule 9216, Respondent Triad Advisors, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057162301 J.H. Darbie & Co., Inc. CRD 43520 AWC jlg (2021-1615508403482).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057162301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.H. Darbie & Co., Inc., Respondent Member Firm CRD No. 43520 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent J.H. Darbie & Co., Inc. (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.

SR-FINRA-2020-037

Rule Filing Status:  Approved

Rule change to amend the By-Laws of FINRA Regulation, Inc., to further align the grounds for member removal from the NAC with an existing provision in the FINRA By-Laws related to the removal of a FINRA Governor from the FINRA Board of Governors.

2019061763302 Jamie Bennett CRD 2740248 AWC jlg (2021-1615422002741).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061763302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jamie Bennett (Respondent) Former General Securities Principal CRD No. 2740248 Pursuant to FINRA Rule 9216, Respondent Jamie Bennett 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

2020067626001 Charles Bonilla CRD 2572107 AWC jlg (2021-1615422002519).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067626001 TO: Department of Enforcement Financial Regulatory Authority (FINRA) RE: Charles Bonilla (Respondent) Former General Securities Representative CRD No. 2572107 Pursuant to FINRA Rule 9216, Respondent Charles Bonilla 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

Regulatory Notice 21-03

Summary

Low-priced securities1 tend to be volatile and trade in low volumes. It may be difficult to find accurate information about them. There is a long history of bad actors exploiting these features to engage in fraudulent manipulations of low-priced securities. Frequently, these actors take advantage of trends and major events—such as the growth in cannabis-related businesses or the ongoing COVID-19 pandemic—to perpetrate the fraud.2

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