Marc A. Reda

06/15/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Marc Augustus Reda (CRD No. 2757330), Respondent. Disciplinary Proceeding No. 2019063526901COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2017 to December 2019 (the "Relevant Period"), while associated with Spartan

03/21/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Marc Augustus Reda CRD No. 2757330, Respondent. Disciplinary Proceeding No. 2019063526901 Hearing Officer—DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 21, 2022 Disciplinary Proceeding No. 2019063526901 was filed on June 15, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Marc A. Reda submitted an Offer of Settlement

Reference 2019063526901data-portal.finra.orgdata-portal.finra.orgfinra.org

06/02/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048486601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Marc A. Reda (CRD No. 2757330), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Marc A. Reda, 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,

Reference 2016048486601data-portal.finra.orgfinra.org