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2022074074801 Lucas Mroz CRD 5725399 AWC gg (2024-1711671608116).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074074801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lucas Mroz (Respondent) General Securities Representative CRD No. 5725399 Pursuant to FINRA Rule 9216, Respondent Lucas Mroz submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SLS Filings Due

FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.

SLS Filings Due

FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.

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