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2024083477201 Damon Perez CRD 5824101 AWC lp (2025-1751242801120).pdf

In May 2025, Damon refused to produce information and documents requested pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010.

2024081609001 Jody Vander Weide CRD 2571083 AWC vr (2025-1751242801105).pdf

Vander Weide failed to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

2024080209001 General Securities Corp. CRD 15062 AWC vr (2025-1751242801101).pdf

From June 30, 2020, to August 6, 2024, General Securities failed to disclose its own and its registered representatives’ disciplinary history in the firm’s customer relationship summary (Form CRS) and failed to comply with the instructions for Form CRS. By filing and delivering to customers a Form CRS that omitted required information, General Securities willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-14, and violated FINRA Rule 2010.

Anonymous Comment On Regulatory Notice 22-08

Occasionally I really need to use inverse funds. I know of all the issues but am convinced over the years it is safe for me and very convenient. Leverage is also handy sometimes. Thank you.

24-02357.pdf

23-03056.pdf

24-01715.pdf

SR-FINRA-2025-003

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) to increase the gift limit from $100 to $250 per person per year, provide for exemptive relief, and incorporate existing guidance and interpretive letters.

Report on Use of 2024 Fine Monies

24-02160.pdf

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