Dr. Dustin Ford Comment On Regulatory Notice 21-19

With the advancements of the blockchain technology, public traded companies should have EACH and every share accounted for. They should be treated as unique financial instruments and should not be abused by being cloned, synthetically recreated, rehypothicated, naked shorted either alone or any combination of these. This should at the very least be considered fraud, at most financial terrorism in the most severe degree. The sheer number of companies this strategy of trading has destroyed. Unspeakably TRAGIC and UNAMERICAN. Shame

2020065347505 Irma I. Salas CRD 4708076 AWC jlg (2021-1630196415183).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065347505 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Irma I. Salas (Respondent) Associated Person CRD No. 4708076 Pursuant to FINRA Rule 9216, Respondent Irma I. Salas (Salas) 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 condition that, if accepted,

2021070337301 Daniel J. O'Neill CRD 1358245 Complaint jlg (2021-1630196415119).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel J. O’Neill (CRD No. 1358245), Respondent. DISCIPLINARY PROCEEDING NO. 2021070337301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel J. O’Neill, while associated with FINRA member Aegis Capital Corp. (“Aegis” or the “Firm”), excessively and unsuitably traded the account of one of his customers, Customer A, from July 2014 through June 2015 (the “Relevant Period”).

2020068662501 Evelyn Batista CRD 7168518 AWC jlg (2021-1630196415959).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068662501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Evelyn Batista (Respondent) Former General Securities Representative CRD No. 7168518 Pursuant to FINRA Rule 9216, Respondent Evelyn Batista 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 condition that,

2020065347504 Lydia S. Santiago CRD 2624360 AWC jlg (2021-1630196416023).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065347504 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lydia S. Santiago (Respondent) Associated Person CRD No. 2624360 Pursuant to FINRA Rule 9216, Respondent Lydia S. Santiago (Santiago) 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 condition that,
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