FENIX SECURITIES LLC.

10/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150461914-01 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: Fenix Securities, LLC, Respondent BD No. 159481 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent, Fenix Securities, LLC ("Fenix" 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 2015046191401data-portal.finra.orgfinra.org

10/21/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064742001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Fenix Securities, LLC (Respondent) Member Firm CRD No. 159481 Pursuant to FINRA Rule 9216, Respondent Fenix 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. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019064742001data-portal.finra.orgfinra.org

02/28/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057732801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Fenix Securities, LLC (Respondent) Member Firm CRD No. 159481 Pursuant to FINRA Rule 9216, Respondent Fenix 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 2018057732801finra.orgdata-portal.finra.org