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John L Comment On Regulatory Notice 22-08

Less regulation, not more. Existing disclosures on options and complex products are sufficient and clear. Retail traders and investors need level playing field, not more barriers to market access, especially access to innovative financial products. Options and leveraged ETFs, when used properly, are very useful and accelerate the journey towards financial goals. I urge FINRA to maintain status quo. Less regulatory red tape is the best protection for retail investors. Retail investors are protected by not having market opportunity and market access forcefully taken away from them.

Sean Kniznik Comment On Regulatory Notice 22-08

Numerous retail investors, including myself, responsibly use leveraged ETFs in a holistic investing strategy while understanding the risks. Leveraged ETFs aren't the only ETF that could be dangerous to an uninformed investor, yet we shouldn't limit every ETF that presents volatility. There is no need to punish the informed investor to protect uninformed investors who may decide to pick an different, equally risky security to invest in.

2022074015901 Stephen S. Gladstone CRD 222612 AWC gg (2022-1652055620551).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074015901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen S. Gladstone (Respondent) Former General Securities Principal and General Securities Representative CRD No. 222612 Pursuant to FINRA Rule 9216, Respondent Stephen S. Gladstone 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 the condition that,

2018059545604 Fusion Analytics Securities, LLC CRD 124245 Order Accepting Offer of Settlement va (2022-1652055618346).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fusion Analytics Securities, LLC, CRD No. 124245, Respondent. Disciplinary Proceeding No. 2018059545604 Hearing Officer—DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 8, 2022 INTRODUCTION Disciplinary Proceeding No. 2018059545604 was filed on March 7, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Fusion Analytics Securities, LLC submitted an Offer of Settlement (Offer) to Complainant dated April 4, 2022.

2021071714401 Adam Petersen Summers CRD 5587343 AWC gg (2022-1652055620507).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071714401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Adam Petersen Summers (Respondent) Former General Securities Representative CRD No. 5587343 Pursuant to FINRA Rule 9216, Respondent Adam Petersen Summers 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 the condition that,