2019063152202 Sidney Lebental CRD 5543658 Order Accepting Offer of Settlement lp (2024-1714177202127).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sidney Lebental, CRD No. 5543658, Respondent. Disciplinary Proceeding No. 2019063152202 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2019063152202 was filed on May 23, 2023, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Sidney Lebental submitted an Offer of Settlement (Offer) to Complainant dated March 26, 2024.

2023079710301 Mark W. Manning CRD 2599852 AWC vr (2024-1714090817292).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079710301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark W. Manning (Respondent) Former General Securities Representative CRD No. 2599852 Pursuant to FINRA Rule 9216, Respondent Mark W. Manning submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Anonymous Comment On Regulatory Notice 22-08

Inverse and leveraged funds are a very important part of my investing. I have been able to weather the lows by using those funds and have gone beyond just preserving my initial capital. I am fully capable of using this type of strategy to manage my money when needed, and do not believe I should be regulated more than any other member of the public. This should not be another case of just the privileged being even more privileged. No process like passing a test will make me any more careful than I am now.

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