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Charles Roberts Comment On Special Notice – 6/30/21

I would think some retail investors would take offense to the way this article was written. In reality we are well educated well informed individuals that no longer believe we should just do things the way they have always been done. We invest in good companies thats only downfall is the market structure dark pools and market makers. Its not that we need to be educated, the agencys need to end the corruption. Unless you want to educate us on that

2021069517501 Dough LLC CRD 148243 AWC DM (2021-1630801229257).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069517501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dough LLC (Respondent) Member Firm CRD No. 148243 Pursuant to FINRA Rule 9216, Respondent Dough LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Andrea Navarrete Comment On Special Notice – 6/30/21

What types of effective educational interventions have the highest potential to influence the behavior of investors, particularly newer investors? What are the costs of implementing such interventions? A great way to influence newer investors is by informing younger generations via social media platforms. As a young adult, I know that most people (regardless of race or income status) from the age ranges 12-28 spend a majority of their time on social media platforms, particularly Tik Tok.

2020067985401 Casey J. Kemerly CRD 4707270 AWC jlg (2021-1630801227544).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067985401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Casey J. Kemerly (Respondent) Former General Securities Representative and General Securities Principal CRD No. 4707270 Pursuant to FINRA Rule 9216, Respondent Casey J. Kemerly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Marshall Fritz Comment On Regulatory Notice 21-19

Since the stack market is meant to operate on the principals of supply a demand. I believe that synthetic share creation through naked short selling or naked options needs technical controls enacted to prevent. Policy controls appear to be largely ineffective give the number of cases for violations listed on SEC.GOV. Given we can buy and sell shares and options why isn’t there simply an exchange instrument that represents a borrowed shares that tracks share available to borrow and stops when the limit of outstanding shares is met.