5123. Private Placements of Securities

(a) Filing Requirements
Each member that sells a security in a non-public offering in reliance on an available exemption from registration under the Securities Act ("private placement") must: (i) submit to FINRA, or have submitted on its behalf by a designated member, a copy of any private placement memorandum, term sheet or other offering document, including any materially amended versions thereof, used in connection with such sale within 15 calendar days of the date of first sale; or (ii) not

5121. Public Offerings of Securities With Conflicts of Interest

(a) Requirements for Participation in Certain Public Offerings
No member that has a conflict of interest may participate in a public offering unless the offering complies with subparagraph (1) or (2).
(1) There must be prominent disclosure of the nature of the conflict of interest in the prospectus, offering circular or similar document for the public offering, and one of the following conditions must be met:
(A) the member(s) primarily responsible

2012034734501 Credit Suisse Securities (USA) LLC CRD 816 AWC sl (2020-1579738866042).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034734501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Credit Suisse Securities (USA) LLC (“Credit Suisse” 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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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059915901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Monica Jade Meyer, Respondent Former General Securities Representative CRD No. 6048364 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Monica Jade Meyer 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

2019063532901 Ramon Esparza CRD 5832979 AWC sl (2020-1579738865172).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063532901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Ramon Esparza, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5832979 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Ramon Esparza 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

2018058061801 John Carneglia CRD 4404911 AWC sl (2020-1579738864216).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058061801 TO; Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Carneglia, Respondent Registered Representative CRD No. 4404911 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John Carneglia submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing settlement of the alleged rule violations described below. This AWC is submitted on the

2016050508501 Oppenheimer & Co. Inc. CRD 249 AWC sl (2020-1579738867302).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050508501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Oppenheimer & Co. Inc., Respondent Member Firm CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Oppenheimer & Co. 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
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