VFinance Investments Inc

03/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050009762 TO; Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: vFinance Investments, Inc., Respondent Member Firm BD No. 44962 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, vFinance Investments, Inc. ("vFinance'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2005000976201data-portal.finra.orgfinra.org

03/23/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130362837-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: VFinance Investments, Inc. Respondent Broker-Dealer CRD No. 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VFinance Investments, Inc (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2013036283701data-portal.finra.orgfinra.org

01/26/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045191001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: vFinance Investments, Inc. ("vFinance" or the ''Firm"), Respondent CRD No. 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Firm submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015045191001data-portal.finra.orgfinra.org

11/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 20140425161- 01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: VFinance Investments, Inc, Respondent Broker-Dealer CRD No. 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VFinance Investments, Inc (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alIeged rule violations described below.

Reference 2014042516101data-portal.finra.orgfinra.org

03/01/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016160002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: vFinance Investments, Inc., Respondent BD No. 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2009016160002data-portal.finra.orgfinra.org

08/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181106-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: VFinance Investments, Inc, Respondent Broker-Dealer CRD No- 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VFinance Investments, Inc (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2009018110601finra.orgdata-portal.finra.org

11/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 20070090101-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: vFinance Investments, Inc., Respondent Broker-Dealer CRD No. 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, vFinance Investments, Inc.

Reference 2007009010101data-portal.finra.orgfinra.org

02/06/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000061-01 TO: Department of Market Regulation NASD RE: vFinance Investments, Inc., Respondent CRD No. 44962 Pursuant to Rule 9216 of the NASD Code of Procedure, vFinance Investments, Inc. ("VFIN" 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

Reference 2004200006101data-portal.finra.orgfinra.org

08/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021107701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: vFinance Investments, Inc., Respondent Member CRD No. 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, vFinance Investments, 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 is submitted on

Reference 2010021107701data-portal.finra.orgfinra.org

01/09/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 20050035967-01 TO: Department of Market Regulation NASD RE: vFinance Investments, Inc., Respondent Broker-Dealer CRD No. 44962 Pursuant to Rule 9216 of NASD Code of Procedure, vFinance Investments, Inc. ("VFIN" 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

Reference 2005003596701data-portal.finra.orgfinra.org

12/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160488396-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: VFinance Investments, Inc, Respondent Broker-Dealer CRD No. 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VFinance Investments, 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 violations

Reference 2016048839601data-portal.finra.orgfinra.org

11/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150466016-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: VFinance Investments, Inc, Respondent Broker-Dealer CRD No. 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VFinance Investments, 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 2015046601601data-portal.finra.orgfinra.org

06/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ZD120341390. 01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: VFinance Investments, Inc, Respondent Broker-Dealer CRD No. 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VFinance Investments, Inc (the "firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012034139001finra.orgdata-portal.finra.org

09/16/2016: FNANCIAL INDUSTRY ]REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150465094-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") VFinance Investments, Inc, Respondent Broker-Dealer CRD No.44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VFinance Investments, 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 violations described

Reference 2015046509401data-portal.finra.orgfinra.org

06/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20120334175-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: VFinance Investments, Inc, Respondent Broker-Dealer CRD No. 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VFinance Investments, Inc (the "firm'') submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012033477501data-portal.finra.orgfinra.org

11/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110282001-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: VFinance Investments, Inc, Respondent Broker-Dealer CRD No. 44962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VFinance Investments, Inc (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

Reference 2011028200101data-portal.finra.orgfinra.org