Government Shutdown Information

2021071994801 Michael Patrick Nixon CRD 2169631 AWC jlg (2022-1643415619382).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071994801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Patrick Nixon (Respondent) Former General Securities Representative CRD No. 2169631 Pursuant to FINRA Rule 9216, Respondent Michael Patrick Nixon 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

2020066677701 Lowell Vincent Kruger CRD 4183008 AWC jlg (2022-1643415617058).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066677701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lowell Vincent Kruger (Respondent) Investment Company Shares and Variable Contracts Representative CRD No. 4183008 Pursuant to FINRA Rule 9216, Respondent Lowell Kruger 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

Caleb Benore Comment On Regulatory Notice 21-43

As a layman, I find the practice of share lending to be disappointing. Many people trust their brokers and relevant institutions to act in ways that aren't detrimental to their portfolio. Lending shares (even from ETFs) to satisfy the borrowing needs of short sellers? This needs to end. Retail's confidence in US capital markets has all but evaporated at this point. So really, things couldn't be much worse if the practice continues. I suppose what this rule amendment depends on is this: do veteran or well-vested market participants care anymore?

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