2017053470801 Wintrust Investments LLC CRD 875 AWC va (2020-1580689169580).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053470801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wintrust Investments LLC, Respondent Broker-Dealer CRD No. 875 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wintrust Investments LLC (the "firm" or "Wintrust") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2016049250601 Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 AWC va (2020-1580689169590).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049250601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Broker-Dealer CRD No. 7691 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Merrill Lynch, Pierce, Fenner & Smith Incorporated (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.

2014041541401 Cabot Lodge Securities LLC CRD 159712 Complaint shl (2020-1580689169611).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cabot Lodge Securities LLC (CRD No. 159712), Respondent. Disciplinary Proceeding NO. 2014041541401 Hearing Officer: COMPLAINT The Department of Enforcement alleges: Summary 1. From August 2012 to February 2016 (the “Relevant Period"), Cabot Lodge Securities LLC (“Cabot Lodge" or the “Firm") participated in an initial public offering (“IPO") of a non-traded real estate investment trust (the “REIT") in which the

Technical Notice

CTCI Migration Production Test for TRACE and ORF

January 03, 2020

FINRA currently supports three methods for the reporting of transactions to its TRACE and Over-The -Counter Reporting (ORF) products – FIX, Computer-to-Computer Interface (CTCI) and TRAQS. As announced in August 2018, beginning in early first quarter 2020, FINRA will no longer support the CTCI protocol (CTCI/TCP; CTCI/MQ) for both TRACE and ORF transaction reporting.

2016051474801 Dash Financial Technologies LLC fka Dash Financial LLC and Electronic Brokerage Systems LLC CRD 104031 AWC va (2020-1580602768878).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051474801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dash Financial Technologies LLC (f/k/a Dash Financial LLC and Electronic Brokerage Systems LLC), Respondent Broker-Dealer CRD No.

2019062034601 Stephen Carver CRD 2230161 AWC va (2020-1580602768980).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062034601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Carver, Respondent Former General Securities Representative and General Securities Principal CRD No. 2230161 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stephen Carver 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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