Traderfield Securities Inc.

11/24/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059045003 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Traderfield Securities, Inc. (Respondent) Member Firm CRD No. 20130 Mario Divita (Respondent) General Securities Principal CRD No. 1504199 Pursuant to FINRA Rule 9216, Respondents Traderfield Securities, Inc. (Traderfield) and Mario Divita (Divita) submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing

Reference 2018059045003data-portal.finra.orgfinra.org

07/09/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052485801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Traderfield Securities Inc., Respondent BD No. 20130 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Traderfield Securities Inc. ("Traderfield" or "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2017052485801data-portal.finra.orgfinra.org

09/05/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062264901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Traderfield Securities Inc. (Respondent) Member Firm CRD No. 20130 Mario Divita (Respondent) General Securities Principal CRD No. 1504199 Pursuant to FINRA Rule 9216, Respondents Traderfield Securities Inc. and Mario Divita submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondents alleging violations based on the same factual findings described in this AWC.

Reference 2019062264901data-portal.finra.orgfinra.org