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,

Danielle Choi Comment On Regulatory Notice 21-19

ALL shorts positions must be made public to curb illegal abusive naked short selling. This proposal doesn't go far enough to prevent this practice; for the majority of financial institutions, fines are merely the cost of doing business and well-worth it. Illegal naked shorting is rampant, widespread, and well-known to the public despite FINRA's continued inaction. Do better. I say this as someone who has also worked at a regulatory agency on behalf of the public: you're an embarrassment to all of us.

Election Notice – 8/2/21

Summary

FINRA will conduct its Annual Meeting of firms on Wednesday, September 1, 2021, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat, one mid-size firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).1

Anonymous-MD Comment On Regulatory Notice 21-19

They are hiding over 100 million fake shares in puts in two forms in Brazil. The data for this popped up on a Bloomberg terminal. This is part of the problem, they create fake shares and hide them in puts. Beyond this, if you really would like a fair market we need to have short interest accountability and transparency. They are so over leveraged it is going to collapse the economy as evidenced by NSCC 010

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