GFI Securities LLC

11/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070103047-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GFI Securities LLC, Respondent Broker-Dealer CRD No. 19982 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, GFI Securities LLC (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. This AWC is

Reference 2007010304701finra.orgdata-portal.finra.org

09/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, COMPLAINANT, v. GFI SECURITIES LLC (CRD No. 19982), MICHAEL SCOTT BABCOCK (CRD No. 2450869), STEPHEN FALLETTA (CRD No. 2880335), DONALD PATRICK FEWER (CRD No. 1415123), STEPHEN LOUIS SCOTTO (CRD No. 2547858), and LAINEE DALE STEINBERG (CRD No. 2376426), RESPONDENTS. Disciplinary Proceeding No. 20060051583 HEARING OFFICER COMPLAINT The Department of Market Regulation alleges: SUMMARY 1. This case

02/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. GFI Securities LLC (CRD No. 19982), Respondent. Disciplinary Proceeding No. 20060051583 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 27, 2012 INTRODUCTION Disciplinary Proceeding No. 20060051583 was filed on September 27, 2010, by the Department of Market Regulation of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent GFI Securities

Reference 2006005158309data-portal.finra.orgdata-portal.finra.orgfinra.org

10/31/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000999-01 TO: Department of Market Regulation NASD RE: GFI Securities LLC, Respondent Broker-Dealer CRD No. 19982 Pursuant to Rule 9216 of the NASD Code of Procedure, GFI Securities LLC ("GFIG" 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any

Reference 2005000099901data-portal.finra.orgfinra.org

02/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. GFI Securities LLC (CRD No. 19982), Respondent. Disciplinary Proceeding No.20060051583 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 27, 2012 INTRODUCTION Disciplinary Proceeding No. 20060051583 was filed on September 27, 2010, by the Department of Market Regulation of the Financial Industry

Reference 2006005158301finra.orgdata-portal.finra.org

01/26/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000636-01 TO: Department of Market Regulation NASD RE: GFI Securities, LLC, Respondent Broker-Dealer CRD No. 19982 Pursuant to Rule 9216 of NASD Code of Procedure, GFI Securities, LLC ("GFIG" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

Reference 2005000063601data-portal.finra.orgfinra.org

08/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130369936-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GFI Securities LLC, Respondent Broker-Dealer CRD No. 19982 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GFI Securities LLC (the ''firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2013036993601data-portal.finra.orgfinra.org

04/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100237693-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GFI Securities LLC, Respondent Broker/Dealer CRD No. 19982 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, GFI Seculities LLC ("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 2010023769301data-portal.finra.orgfinra.org

10/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080127645-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GFI Securities LLC, Respondent Broker-Dealer CRD No. 19982 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GFI Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2008012764501data-portal.finra.orgfinra.org

03/11/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048311501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: GFI Securities LLC, Respondent Member Firm CRD No. 19982 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent GFI 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

Reference 2015048311501data-portal.finra.orgfinra.org

10/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090177140-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GFI Securities LLC, Respondent Broker-Dealer CRD No. 19982 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GFI Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2009017714001data-portal.finra.orgfinra.org

07/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060055560- 01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GFI Securities LLC, Respondent Broker-Dealer CRD No. 19982 Pursuant to Rule 9216 of the FINRA Code of Procedure, GFI Securities LLC (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. This AWC is submitted

Reference 2006005556001finra.orgdata-portal.finra.org

09/28/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GFI Securities LLC, Respondent Broker-Dealer CRD No, 19982 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, GFI Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation described below. This AWC is submitted on the

Reference 2006004110801data-portal.finra.orgfinra.org

08/02/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102005015602 TO. Department of Enforcement NASD RE: GFI Securities LLC (BD No. 19982), and Donald P. Fower (CRD No. 1415123) Respondents Pursuant to Rule 9216 of NASD Code of Procedure, GFI Securities LLC ("GFI") and Donald P. Fower ("Fower") (collectively, "Respondents"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on

Reference E102005015602data-portal.finra.orgfinra.org

05/11/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050001788-01 TO: Department of Market Regulation NASD RE: GFI Securities, LLC, Respondent Broker/Dealer CRD Number 19982 Pursuant to Rule 9216 of NASD Code of Procedure, GFI Securities, LLC ("GFIG") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will

Reference 2005000178801data-portal.finra.orgfinra.org

01/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110285871-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GFI Securities LLC, Respondent Broker/Dealer CRD No. 19982 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, GFI Securities LLC ("the firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement ofthe alleged rule violations described below. This AWC is

Reference 2011028587101data-portal.finra.orgfinra.org

02/08/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION CLG050012 TO: Department of Market Regulation NASD RR: GFI Securities LLC, Respondent Broker/Dealer CRD Number 19982 Pursuant to Rule 9216 of NASD Code of Procedure, GFI Securities LLC ("GFIG" 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 in Part II below. This AWC is submitted on the condition

Reference CLG050012data-portal.finra.orgfinra.org

06/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070108193-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GFI Securities LLC, Respondent Broker-Dealer CRD No. 19982 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GFI Securities LLC (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. This AWC is submitted

Reference 2007010819301data-portal.finra.orgfinra.org