CV BROKERAGE INC

03/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 201303728520-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: CV Brokerage, Inc., Respondent Broker-Dealer CRD No. 462 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CV Brokerage, 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

Reference 2013037285201data-portal.finra.orgfinra.org

10/27/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035122101 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: CV Brokerage, lnc. (BD No. 462), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CV Brokerage, Inc, ("CV" 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. This AWC is submitted

Reference 2013035122101finra.orgdata-portal.finra.org

01/18/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043384601 TO: Dcpartment of Enforcement Financial Industry Regulatory Authority (??FrNRA") RE: CV Brokerage, Inc. (BD No. 462), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CV Brokerage, Inc. ("CV Brokerage" 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. This AWC is

Reference 2015043384601data-portal.finra.orgfinra.org

07/02/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052325902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CV Brokerage, Inc., Respondent CRD No. 462 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CV Brokerage, Inc. ("CV Brokerage" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 201705232590data-portal.finra.orgfinra.org

08/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120350265-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CV Brokerage, Inc, Respondent Broker-Dealer CRD No. 462 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CV Brokerage, Inc (the "firm" 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.

Reference 2012035026501data-portal.finra.orgfinra.org