Christopher Cacace

01/17/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NOS. 2012030422901 AND 2015047602801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher Cacace Respondent CRD No. 4308782 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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

Reference 2012030422901data-portal.finra.orgfinra.org

08/15/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Cacace (CRD No. 4308782), Respondent. Disciplinary Proceeding No. 2020065599103 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From May 2017 through November 2019 (the “Relevant Period”), SW Financial (CRD No. 145012) (“SWF” or the “Firm”) tasked its Chief Compliance Officer (“CCO”), Respondent Christopher Cacace, with supervising SWF’s registered representatives and their trading activity.

10/30/2025: Respondent Christopher Cacace is fined $5,000, suspended in all supervisory capacities for 30 business days, and required to requalify as a General Securities Principal for failing to fulfill his supervisory responsibility to reasonably respond to red flags of excessive trading by four registered representatives, in violation of FINRA Rules 3110 and 2010.

Reference 2020065599103data-portal.finra.orgdata-portal.finra.orgfinra.org