Dinosaur Financial Group LLC

05/19/2026: From April 2022 to November 2023, Dinosaur Financial guaranteed its parent company’s 10-year commercial real estate lease totaling $4.3 million. The firm failed to provide written notice to FINRA before entering into this guarantee. The firm also failed to include this guarantee in the firm’s net capital computations, causing it to operate a securities business while below its minimum net capital requirement for 19 of those 20 months. During the same period, the firm maintained inaccurate books and records, including inaccurate net capital computations, filed 20 inaccurate Financial and Operational Combined Uniform Single (FOCUS) reports, and failed to timely notify FINRA and the SEC of the firm’s net capital deficiencies. As a result, the firm violated Securities Exchange Act of 1934 §§ 15(c)(3) and 17(a), Exchange Act Rules 15c3-1, 17a- 3, 17a-5, and 17a-11, and FINRA Rules 4110(b)(1), 4150(a), 4511, and 2010. For these violations, the firm is censured and fined $85,000.

Reference 2023077098201finra.orgdata-portal.finra.org

08/01/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054867601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dinosaur Financial Group LLC, Respondent CRD No. 104446 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dinosaur Financial Group LLC ("Dinosaur" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2017054867601finra.orgdata-portal.finra.org