Fortrend Securities Inc.

06/01/2026: From June 30, 2020, to the present, Fortrend Securities willfully failed to comply with Form CRS requirements. The firm failed to timely file and deliver its Form CRS to retail investors. When the firm belatedly filed and delivered its Form CRS, it contained deficiencies, including disclosing the wrong clearing firm and associated fees and charges, and omitting other required information. As a result, Fortrend Securities willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-14, and violated FINRA Rule 2010. In addition, Fortrend Securities failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with the firm’s Form CRS obligations, in violation of FINRA Rules 3110 and 2010.

Reference 2021071808101data-portal.finra.orgfinra.org

10/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039056101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fortrend Securities, Inc., Respondent Member Firm CRD No. 32949 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Fortrend Securities, Inc. 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

Reference 2014039056101data-portal.finra.orgfinra.org