Cabot Lodge Securities LLC

04/06/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cabot Lodge Securities LLC (CRD No. 159712), Respondent. Disciplinary Proceeding No. 2014041541401 Hearing Officer—MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 6, 2021 INTRODUCTION Disciplinary Proceeding No. 2014041541401 was filed on January 2, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Cabot Lodge Securities LLC

01/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cabot Lodge Securities LLC (CRD No. 159712), Respondent. Disciplinary Proceeding NO. 2014041541401 Hearing Officer: COMPLAINT The Department of Enforcement alleges: Summary 1. From August 2012 to February 2016 (the “Relevant Period"), Cabot Lodge Securities LLC (“Cabot Lodge" or the “Firm") participated in an initial public offering (“IPO") of a non-traded real estate investment trust (the “REIT") in which the

Reference 2014041541401data-portal.finra.orgdata-portal.finra.orgfinra.org

05/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035247201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cabot Lodge Securltias, LLC, Respondent Member Firm BD No. 159712 Pursuant to FINRA Rule 9216 of FINRA 's Code of Procedure, Respondent Cobot Lodge Securities, LLC, ("Cabot Lodge" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2013035247201data-portal.finra.orgfinra.org