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Miriam McCall Comment On Regulatory Notice 22-08

It is unjust to place restrictions on where or how I invest my hard earn funds. I thought America was the home of the free and the brave, WHAT HAS HAPPENED TO OUR FREEDOM? I am finally reaching the age of enjoying life and now this to look forward to ..Why on earth did I waste 40+ years of my life in the work force to look forward to such as this. Again what is wrong with our country?

Kelly Harvey Comment On Regulatory Notice 22-08

I strongly oppose any and all regulation on my choices of investments. Our current net worth includes hard assets, our home/car/etc., IRAs, Savings deposits, bank accounts, and credit union accounts. The total values are just over 1 million dollars. I know this is small compared to the 1% that rule the country, but it started with employer matched funding IRA decades ago. We built it slowly and carefully. Now retired, my choice of my investments should not be dictated by others.

2018058781101 UBS Securities LLC CRD 7654 AWC va (2022-1654302014385).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058781101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Securities LLC (Respondent) Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216, Respondent UBS 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.