STOCKCROSS FINANCIAL SERVICES INC

01/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027611101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: StockCross Financial Services, Inc., Respondent CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StockCross Financial Services, Inc. ("StockCross" 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

Reference 2011027611101data-portal.finra.orgfinra.org

12/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110261649-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: StockCross Financial Services, Inc., Respondent Broker-Dealer CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StockCross Financial Services, Inc. (the''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011026164901data-portal.finra.orgfinra.org

08/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100225932-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: StockCross Financial Services, Inc., Respondent Broker-Dealer CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StockCross Financial Services, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2010022593201finra.orgdata-portal.finra.org

07/31/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETIER OF ACCEFTANCE, WAIVER AND CONSENT NO. 20120323426-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: StockCross Financial Services, Inc., Respondent Broker-Dealer CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StockCross Financial Services, Inc. (the "firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2012032342601data-portal.finra.orgfinra.org

09/07/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160485367-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: StockCross Financial Services, Inc., Respondent Broker-Dealer CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, StockCross Financial Services, Inc. ("STXG", the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2016048536701data-portal.finra.orgfinra.org

03/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130384509-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: StockCross Financial Services, Inc., Respondent Broker-Dealer CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StockCross Financial Services, Inc. (the "firm" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2013038450901data-portal.finra.orgfinra.org

05/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100212034-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: StockCross Financial Services, Inc., Respondent Broker-Dealer CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StockCross Financial Services, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010021203401data-portal.finra.orgfinra.org

02/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090209247-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: StockCross Financial Services, Inc., Respondent Broker-Dealer CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StockCross Financial Services, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2009020924701data-portal.finra.orgfinra.org

12/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110281373- 01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: StockCross Financial Services, Inc., Respondent Broker-Dealer CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StockCross Financial Services, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2011028137301data-portal.finra.orgfinra.org

02/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442700-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stockcross Financial Services, lnc., Respondent Broker-Dealer CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stockcross Financial Services, Inc. (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2015044270001data-portal.finra.orgfinra.org

02/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094679 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: StockCross Financial Services, Inc. Member CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StockCross Financial Services, Inc. ("StockCross" or the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2007009467901data-portal.finra.orgfinra.org

02/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080136304-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: StockCross Financial Services, Inc., Respondent Broker-Dealer CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StockCross Financial Services, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2008013630401data-portal.finra.orgfinra.org

07/15/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NOS. 2018058595601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: StockCross Financial Services, Inc. (acquired by Respondent Muriel Siebert & Co., Inc. as of December 31, 2019), (Respondent) Member Firm CRD No. 6670 Pursuant to FINRA Rule 9216, Respondent StockCross Financial Services, Inc., which was acquired by Muriel Siebert & Co., Inc. as December 31, 2019, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018058595601data-portal.finra.orgfinra.org

05/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140401601-01 TO: Department of Market Regulation Financial industry Regulatory Authority ("FINRA") RE: StockCross Financial Services, Inc., Respondent Broker-Dealer CRD No. 6670 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StockCross Financial Services, Inc. (''STXG", the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement

Reference 2014040160101data-portal.finra.orgfinra.org