David P. Slater, Esq Comment On Regulatory Notice 22-09
Busy Respondent Attorneys will argue they "are not available" and will move FINRA to disqualify an arbitrator who try's to enforce the rule. It has happened to me.
Adrian Meraz Comment On Regulatory Notice 22-08
Limiting LETFs to holding for one day, will greatly hinder my ability to save for retirement. I am a young investor with a long investment time horizon. Being forced out of LETFs would generate enormous capital gains that will financially ruin me. All I want is FINRA to do is to just make broker disclosures better.
2021070337101 Scott Neil Hananel CRD 3080827 AWC gg (2022-1651278016044).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2021070337101
TO: Department of Enforcement
Financial Industry Regulatory Authority (“FINRA”)
RE: Scott Neil Hananel, Respondent
Former General Securities Representative
CRD No. 3080827
Pursuant to FINRA Rule 9216, Respondent Scott Neil Hananel 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