2020065435402 Michael G. DeLuca CRD 4428054 AWC lp (2023-1672964393517).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065435402
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Michael G. DeLuca (Respondent), General Securities Principal CRD No. 4428054
Pursuant to FINRA Rule 9216, Respondent Michael G. DeLuca submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2022076360101 Fernando Silva CRD 7326519 AWC lp (2023-1672964393298).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076360101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Fernando Silva (Respondent)
Former General Securities Representative
CRD No. 7326519
Pursuant to FINRA Rule 9216, Respondent Fernando Silva submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2021070408202 Old Slip Capital Management, Inc. CRD 7360 AWC va (2023-1672964393303).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070408202
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Old Slip Capital Management, Inc. (Respondent)
Member Firm
CRD No. 7360
Pursuant to FINRA Rule 9216, Respondent Old Slip Capital Management, Inc. submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.