2017052543601 Cambridge Investment Research, Inc. CRD 39543 AWC jlg (2020-1580429973569).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052543601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cambridge Investment Research, Inc., Respondent Member Firm CRD No. 39543 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cambridge Investment Research, Inc. ("Cambridge" 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. This AWC 
      
  2017052392101 Microventure Marketplace Inc. CRD 152513 AWC jlg (2020-1580429974325).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052392101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Microventure Marketplace Inc., Respondent Member Firm CRD No. 152513 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Microventure Marketplace Inc. ("Microventure" 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. This AWC is submitted on the condition 
      
  2018058481501 Bruno H. Silva CRD 6820531 AWC jlg (2020-1580429972262).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058481501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bruno H. Silva, Respondent General Securities Representative CRD No. 6820531 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bruno H. Silva 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