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2020065125701 Arque Capital, Ltd CRD 121192 and Michael C. Ning CRD 1229733 AWC lp (2023-1686356402697).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065125701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arque Capital, Ltd. (Respondent) Member Firm CRD No. 121192 Michael C. Ning (Respondent) Operations Professional and General Securities Principal CRD No. 1229733 Pursuant to FINRA Rule 9216, Respondents Arque Capital, Ltd. and Michael C. Ning submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

22-01025.pdf

22-01839.pdf

20-02294.pdf

23-00553.pdf

20-02616.pdf

2021071850602 Jacob Harrison Leddy CRD 6073108 AWC gg (2023-1686270012433).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071850602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jacob Harrison Leddy (Respondent) General Securities Representative CRD No. 6073108 Pursuant to FINRA Rule 9216, Respondent Jacob Harrison Leddy submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 23-09

Summary

An efficient capital raising process fosters business expansion, job creation and economic growth. FINRA members play an important role in facilitating capital formation for businesses of all sizes. FINRA promotes the capital raising process through appropriately tailored rules for its members that are designed to promote transparency and to establish important standards of conduct for the benefit of all market participants, including investors and issuers.

Regulatory Notice 23-08

Summary

In this Notice, FINRA reminds members of their obligations when selling private placements (i.e., unregistered offerings sold pursuant to the Regulation D safe harbors under Sections 3 and 4 of the Securities Act of 1933 (Securities Act)).

2021071288701 Michael R. Neill CRD 4700490 AWC vr (2023-1686270012739).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071288701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael R. Neill (Respondent) General Securities Representative CRD No. 4700490 Pursuant to FINRA Rule 9216, Respondent Michael R. Neill 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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