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2024083981001 Thomas Sapio CRD 1848346 AWC lp (2025-1753921209766).pdf

From April 2022 through August 2022, Sapio failed to reasonably supervise two traders who were inaccurately marking the value of positions on their trading books to conceal from Cantor millions of dollars in unrealized losses. For his violations of FINRA Rules 3110 and 2010, Sapio is suspended in all principal capacities for two months, fined $5,000, and required to complete ten hours of continuing education concerning supervisory responsibilities.

2024084295501 Nicholas Stephen Coubrough CRD 4678755 AWC lp (2025-1753921209900).pdf

Coubrough refused to provide documents and information requested by FINRA pursuant to FINRA Rule 8210. As a result, Coubrough violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

24-01879(2).pdf

23-02636.pdf

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2019061942901_Colletti_CRD_4577898_NAC_jhjr (2025-1753921209568).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Michael Ciro Colletti, Glen Cove, New York, Respondent. DECISION Complaint No. 2019061942901 Dated: June 17, 2025. Registered representative engaged in unauthorized and excessive trading in a customer's account. Held, findings and sanctions affirmed.

Morgan, Lewis & Bockius LLP Comment On Regulatory Notice 25-06

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