ViewTrade Securities Incorporated

09/10/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051318601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ViewTrade Securities, Incorporated, Respondent Member Finn CRD No. 46987 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent ViewTrade Securities, Incorporated (ViewTrade 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 2016051318601finra.orgdata-portal.finra.org

12/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20170358302-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: ViewTrade Securities, Inc., Respondent Broker-Dealer CRD No. 46987 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Legend Securities, Inc. ("VTSB" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013035830201data-portal.finra.orgfinra.org

08/26/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072003014001 TO: Department of Enforcement NASD RE: Viewtrade Securities, Inc., Respondent [CRD No. 46987] and James J. St. Clair, Jr., Respondent Equity Trader, Financial and Operations Principal, General Securities Principal, General Securities Representative, Municipal Securities Principal, and Municipal Securities Representative [CRD No. 1550599] Pursuant to Rule 9216 of the NASD Code of Procedure, Viewtrade Securites, Inc. and

Reference E072003014001finra.orgdata-portal.finra.org

08/23/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058605501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ViewTrade Securities, Inc. (Respondent) Member Firm CRD No. 46987 Pursuant to FINRA Rule 9216, Respondent ViewTrade Securities, Inc., submits 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 Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2018058605501finra.orgdata-portal.finra.org

12/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20042000016-01 TO: Department of Market Regulation NASD RE: ViewTrade Securities, Inc., Respondent Broker-Dealer CRD No. 46987 Pursuant to Rule 9216 of NASD Code of Procedure, ViewTrade Securities, Inc. (the "firm" or "VIEW") 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

Reference 2004200001601data-portal.finra.orgfinra.org

10/23/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076186101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ViewTrade Securities, Inc. (Respondent) Member Firm CRD No. 46987 Pursuant to FINRA Rule 9216, Respondent ViewTrade Securities, Inc. submits 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 Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2022076186101data-portal.finra.orgfinra.org

05/30/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000647-01 TO: Department of Market Regulation NASD RE: ViewTrade Securities, Inc., Respondent Broker-Dealer CRD Number 46987 Pursuant to Rule 9216 of NASD Code of Procedure, ViewTrade Securities, Inc. (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 H below. This AWC is submitted on the condition that, if accepted, NASD will not bring

Reference 2005000064701data-portal.finra.orgfinra.org

10/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011725001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: ViewTrade Securities, Inc., Respondent CRD No. 46987 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ViewTrade Securities, Inc. ("ViewTrade" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2008011725001data-portal.finra.orgfinra.org