CIM Securities LLC

01/31/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060957101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CIM Securities, LLC (Respondent or CIM Securities) Member Firm CRD No. 120852 Pursuant to FINRA Rule 9216, Respondent CIM Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2019060957101data-portal.finra.orgfinra.org

01/07/2025: Between April and September 2022, CIM sold to one investor a private placement offering for which no exemption from registration was available and, therefore, constituted an unregistered distribution of securities in contravention of Section 5 of the Securities Act of 1933, and, thereby, a violation of FINRA Rule 2010. During the same period, CIM failed to reasonably respond to red flags concerning the issuer of that same offering, in violation of FINRA Rules 3110 and 2010. From September 2021 to January 2024, the firm failed to establish and maintain WSPs reasonably designed to achieve compliance with its obligations to conduct reasonable due diligence of private placement offerings, in violation of Rule 15l-1(a)(1) under the Securities Exchange Act of 1934 (Regulation Best Interest or Reg BI) and FINRA Rules 3110 and 2010. From June to September 2022, CIM distributed sales communications for an offering that did not sufficiently disclose risks associated with the offering necessary…

Reference 2022076365001data-portal.finra.orgfinra.org

07/30/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056738101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CIM Securities, LLC, Respondent Member Firm BD No. 120852 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent CIM Securities, LLC ("Respondent" 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 2017056738101data-portal.finra.orgfinra.org

10/03/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052070001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CIM Securities, LLC, Respondent CRD No. 120852 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent CIM Securities, LLC. (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 is

Reference 2017052070001data-portal.finra.orgfinra.org