Dash Financial Technologies LLC

05/19/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050061 TO: Market Regulation Department NASD RE: Electronic Brokerage Systems, LLC, Respondent Broker-Dealer CRD No. 104031 Pursuant to Rule 9216 of NASD Code of Procedure, Electronic Brokerage Systems, LLC ("BELZ or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not

Reference CLG050061data-portal.finra.orgfinra.org

03/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060059948-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Electronic Brokerage Systems, LLC, Respondent Broker-Dealer CRD No. 104031 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Electronic Brokerage Systems, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2006005994801data-portal.finra.orgfinra.org

01/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051474801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dash Financial Technologies LLC (f/k/a Dash Financial LLC and Electronic Brokerage Systems LLC), Respondent Broker-Dealer CRD No. 104031 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dash Financial Technologies LLC f/k/a Dash Financial LLC, and Electronic Brokerage Systems LLC ("Dash" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016051474801data-portal.finra.orgfinra.org

09/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20090169904-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Electronic Brokerage Systems, LLC, Respondent Broker-Dealer CRD No. 104031 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Electronic Brokerage Systems, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2009016990401data-portal.finra.orgfinra.org

04/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20070103680-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Electronic Brokerage Systems, LLC, Respondent Broker-Dealer CRD No. 104031 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Electronic Brokerage Systems, LLC (the 'firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2007010368001data-portal.finra.orgfinra.org

08/10/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2004200007701 TO: Department of Market Regulation NASD RE: Electronic Brokerage Systems, LLC, Respondent Broker-Dealer CRD No. 104031 Pursuant to Rule 9216 of the NASD Code of Procedure, Electronic Brokerage Systems, LLC ("BELZ" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if

Reference 2004200007701data-portal.finra.orgfinra.org