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FINRA Fines Webull $3 Million for Options Customer Approval Violations

Firm Also Failed to Maintain Supervisory System, Report Customer Complaints

WASHINGTON—FINRA announced today that it has fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system reasonably designed to identify and respond to customer complaints; and not reporting certain written customer complaints to FINRA as required.

FIA Principal Traders Group Comment On Regulatory Notice 22-30

FIA PTG Principal Traders Group 2001 K Street NW, Suite 725, Washington, DC 20006 | Tel +1 202.466.5460 March 8, 2023 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Regulatory Notice 15-13: Trading Activity Fee (TAF), May 5, 2015 Dear Ms. Mitchell: The FIA Principal Traders Group (“FIA PTG”) 1 appreciates the opportunity to comment in response to the renewed Request for Comments on the Financial Industry Regulatory Authority, Inc.

2021069378801 Aeon Capital Inc. CRD 164004 AWC va (2023-1680913197577).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069378801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aeon Capital Inc. (Respondent) Member Firm CRD No. 164004 Pursuant to FINRA Rule 9216, Respondent Aeon Capital Inc. 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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