Fusion Analytics Securities LLC

06/16/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fusion Analytics Securities, LLC CRD No. 124245, Respondent. Disciplinary Proceeding No. 2018058871601 Hearing Officer--DW ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 16, 2020 INTRODUCTION Disciplinary Proceeding No. 2018058871601 was filed on April 10, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Fusion Analytics

04/10/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fusion Analytics Securities, LLC CRD No. 124245, Respondent. Disciplinary Proceeding No. 2018058871601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between September 2014 and May 2018 (the "Relevant Period"), Fusion

Reference 2018058871601data-portal.finra.orgfinra.orgdata-portal.finra.org

01/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140393415-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fusion Analytics Securities LLC, Respondent BD No. 124245 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent, Fusion Analytics Securities LLC (''FAS" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2014039341501data-portal.finra.orgfinra.org

04/08/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fusion Analytics Securities, LLC, CRD No. 124245, Respondent. Disciplinary Proceeding No. 2018059545604 Hearing Officer—DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 8, 2022 INTRODUCTION Disciplinary Proceeding No. 2018059545604 was filed on March 7, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Fusion Analytics Securities, LLC submitted an Offer of Settlement (Offer) to Complainant dated April 4, 2022.

03/07/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fusion Analytics Securities, LLC CRD No. 124245, Respondent. Disciplinary Proceeding No. 2018059545604 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2017 to at least August 2019, Respondent Fusion Analytics Securities, LLC, acting through MC, its indirect owner and Managing Partner, and EW, one of COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2017 to at least

Reference 2018059545604data-portal.finra.orgdata-portal.finra.orgfinra.org