2019062264901 Traderfield Securities Inc., CRD 20130 and Mario Divita CRD 1504199 AWC lp (2023-1696551606953).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062264901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Traderfield Securities Inc. (Respondent) Member Firm CRD No. 20130 Mario Divita (Respondent) General Securities Principal CRD No. 1504199 Pursuant to FINRA Rule 9216, Respondents Traderfield Securities Inc. and Mario Divita submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team

In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from FINRA's Crypto Asset Investigations Team. This dedicated group of investigators specialize in conducting complex crypto asset investigations and share more about the crucial role it plays in ensuring compliance with existing rules and regulations in the crypto asset space.

2019064511205 Richard S. Siminou CRD 5605796 AWC lp (2023-1696206002154).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064511205 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard S. Siminou (Respondent) General Securities Representative CRD No. 5605796 Pursuant to FINRA Rule 9216, Respondent Richard S. Siminou submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070851501 Network 1 Financial Securities, Inc. CRD 13577 and Michael R Molinaro CRD 2358346 AWC lp (2023-1696119607143).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070851501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Network 1 Financial Securities, Inc. (Respondent) Member Firm CRD No. 13577 Michael Molinaro (Respondent) General Securities Principal CRD No. 2358346 Pursuant to FINRA Rule 9216, Respondents Network 1 Financial Securities, Inc. and Michael Molinaro submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to