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Michael Orr of Rye Brook New York a stockbroker formerly employed by NYPPEX LLC is referenced in a Securities Exchange Commission (SEC) Investigation dated January 17, 2017 into Orr’s possible infractions of federal securities laws or rules in reference to his negotiations of Betaworks Studios LLC private equity securities transactions.

Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that Orr was employed with NYPPEX LLC between June 21, 2012 and December 15, 2016, at which point NYPPEX LLC terminated Orr’s registration with the firm based upon accusations that Orr engaged in undisclosed outside business activities; conduct violative of FINRA Rule 3270.