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Eric Woodside Comment On Regulatory Notice 21-19

While the proposed improved regulations / reporting are taking a step in the right direction there needs to be further reporting of data to the public made in as close to real time as possible. As the movement of retail traders being involved in managing their own investments continues to grow, the playing field should be as even as possible for all parties involved. If we are investing with a firm, we should be able to know the extent of their short position, if it is something that goes against our own investment strategies.

Brandon Comment On Regulatory Notice 21-19

I believe in transparency. Major players in this market push and pull the price of a security to profit with derivatives or push and pull with derivatives to profit of a held security. In spite of the intentional charade to act oblivious and pretend it all was just simply speculation, larger players use brute force means as an investment strategy with arguably plausible deniability. I believe the solution to that is complete disclosure disseminated not only to the market but the market participants, especially those who might be unwilling or unknowing participants.

2017053428201 DreamFunded Marketplace, LLC CRD 283594, Manuel Fernandez CRD 6639970 NAC Decision jlg (2021-1635466838427).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. DreamFunded Marketplace, LLC San Francisco, CA, and Manuel Fernandez San Francisco, CA, Respondents. DECISION Complaint No. 2017053428201 Dated: September 27, 2021 DreamFunded Marketplace and Fernandez: (1) failed to respond fully and completely to FINRA’s request for information and documents; (2) failed to deny an issuer’s access to the funding portal when the issuer’s

2019063531701 Maureen McKenna Fasanella CRD 5580617 AWC jlg (2021-1635466835226).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063531701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maureen McKenna Fasanella (Respondent) Former Associated Person CRD No. 5580617 Pursuant to FINRA Rule 9216, Respondent Maureen McKenna Fasanella 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

2019064209301 Lee B. Taylor CRD 3045030 AWC jlg (2021-1635466835258).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064209301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lee B. Taylor (Respondent) General Securities Representative and Operations Professional CRD No. 3045030 Pursuant to FINRA Rule 9216, Respondent Lee B. Taylor 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