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2021069496201 Lauren Nicole Scheible CRD 6952986 Decision sl (2022-1651105224727).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LAUREN NICOLE SCHEIBLE (CRD No. 6952986), Respondent. Disciplinary Proceeding No. 2021069496201 Hearing Officer—BEK DEFAULT DECISION February 3, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents and failing to provide testimony during an investigation. Appearances For the Complainant: Matthew

G Singh Comment On Regulatory Notice 22-08

I think the current requirements for self-directed investors are sufficient and there should not be more restriction on people to invest their money. The underlying premise that retail investors do not know what they are doing is flawed. What we need is less control and not more. Retail investors do not want to be forced into taking services from industry professionals and want to develop their own knowledge through education and experience which comes from hands on investing.

2021072686001 Jeffrey Karakatsanis CRD 6911899 AWC va (2022-1650846030640).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072686001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Karakatsanis (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6911899 Pursuant to FINRA Rule 9216, Respondent Jeffrey Karakatsanis 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