Sidney Lebental

03/27/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sidney Lebental, CRD No. 5543658, Respondent. Disciplinary Proceeding No. 2019063152202 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2019063152202 was filed on May 23, 2023, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Sidney Lebental submitted an Offer of Settlement (Offer) to Complainant dated March 26, 2024. Pursuant to FINRA Rule 9270(e), the Complainant and the National Adjudicatory Council (NAC), a Review Subcommittee of the NAC, or the Office of Disciplinary Affairs (ODA) have accepted the uncontested Offer. Accordingly, this Order now is issued pursuant to FINRA Rule 9270(e)(3). The findings, conclusions and sanctions set forth in this Order are those stated in the Offer as accepted by the Complainant and approved by the NAC.

05/23/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2019063152202 Department of Enforcement, Complainant, v. Sidney Lebental, CRD No. 5543658, Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY From October 2014 through February 2021 (the Relevant Period), Respondent Sidney Lebental engaged in 523 instances of “spoofing,” a type of fraudulent trading that involves the use of non–bona fide orders to induce executions of bona fide orders entered on the opposite side of the market in the same security or a correlated product.

Reference 2019063152202data-portal.finra.orgdata-portal.finra.orgfinra.org