GBM International Inc.

12/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. GBM International, Inc. (CRD No. 28684, Respondent. Disciplinary Proceeding No. 2010020846601 Hearing Officer: RLP Date: December 10, 2012 ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION 1. Disciplinary Proceeding No. 2010020846601 was filed on April 27, 2012, by the Department of Enforcement of the Financial Industry

Reference 2010020846601data-portal.finra.orgfinra.org

12/21/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054878001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: GBM International, Inc. (Respondent) Member Firm CRD No. 28684 Pursuant to FINRA Rule 9216, Respondent GBM International, Inc. (GBM) 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,

Reference 2017054878001data-portal.finra.orgfinra.org

09/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049504801 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GBM International, Inc., Respondent Broker-Dealer CRD No. 28684 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GBM International, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2016049504801data-portal.finra.orgfinra.org