2018057165801 Instinet, LLC CRD 7897 AWC va (2023-1673223595507).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018057165801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Instinet, LLC (Respondent)
Member Firm
CRD No. 7897
Pursuant to FINRA Rule 9216, Respondent Instinet, LLC submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020065435401 Christine A. Warner CRD 4001584 AWC gg (2023-1673137197247).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065435401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christine A. Warner (Respondent), General Securities Principal
CRD No. 4001584
Pursuant to FINRA Rule 9216, Respondent Christine A. Warner submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.