2017055996901 Piper Sander & Co. fka Sandler O'Neill & Partners, L.P CRD 665 AWC va (2021-1630714828924).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055996901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Piper Sandler & Co. (f/k/a Sandler O’Neill & Partners, L.P.) (Respondent) Member Firm CRD No. 665 Pursuant to FINRA Rule 9216, Respondent Piper Sandler & Co. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066785901 Walter Morrow Allen CRD 1344149 AWC va (2021-1630714828211).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066785901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Walter Morrow Allen (Respondent) Former General Securities Representative CRD No. 1344149 Pursuant to FINRA Rule 9216, Respondent Walter Morrow Allen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Tom Comment On Regulatory Notice 21-19

Please explain to us why 50-70% of all retail transactions are going through the dark pools for AMC and GME every single day. As new investors we would like to understand how the blatant price manipulation, and lack of price discovery is considered legal by FINRA and other the other regulatory bodies. From what I have read this was not what the intended use of dark pools was for. I believe if dark pools were paused for just 1 month we'd see the true value of many stocks come to light. From our standpoint, it seems as if the entire system is rigged to make the 1% even more money.

2020066887801 Eugene A. McAdams CRD 4190211 AWC DM (2021-1630714829167).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066887801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eugene A. McAdams (Respondent) Former General Securities Representative CRD No. 4190211 Pursuant to FINRA Rule 9216, Respondent Eugene A. McAdams submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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