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2020068377301 Alexander Vesneske CRD 6156226 AWC va (2021-1629418813968).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068377301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alexander Vesneske (Respondent) Former General Securities Representative and Former Private Securities Offering Representative CRD No. 6156226 Pursuant to FINRA Rule 9216, Respondent Alexander Vesneske submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016047624501 Luis Fernando Restrepo CRD 2167380 AWC va (2021-1629418812984).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016047624501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Luis Fernando Restrepo (Respondent) Former General Securities Principal, former Investment Banking Principal, former Compliance Officer. CRD No. 2167380 Pursuant to FINRA Rule 9216, Respondent Luis Fernando Restrepo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Thomas J Wolfe Comment On Special Notice – 6/30/21

1) What is the single most neglected area in the field of investor education? How might this area be developed? ANSWER: While the barrier of entry to investment markets is lower than ever with online low cost trading platforms, etc. - the technical knowledge required to make informed corporate investment decisions, creates a huge barrier to the average investor. A single most neglected area is difficult to pinpoint.

Alejandro Lobatos Comment On Regulatory Notice 21-19

I am in favor for an increase in short interest reporting regulation. More notably in adopting new regulations to have synthetic short positions reported to FINRA. Also short interest reporting should be increased from twice a month to daily and the dissemination should go down from 7 days to 2 days. I'm also in agreement to the purposed FTD changes, actually have any and all FTD settled in a T+5. Short selling firms have been given to much free range to play the market as they wish and that needs to stop.

2021069207301 Enoch S. Booth CRD 4370233 AWC va (2021-1629418813463).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069207301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Enoch S. Booth (Respondent) Former General Securities Representative Former Investment Company Shares and Variable Contracts Representative CRD No. 4370233 Pursuant to FINRA Rule 9216, Respondent Enoch S. Booth submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

AJ Comment On Regulatory Notice 21-19

the current laws allow the big brokers and hedge funds to make a fortune killing small companies. one highly shorted stock, inovio (INO) has life saving cancer and covid drugs in the making, but are being hampered by shorts. please put a stop to this. make everyone play by the same rules. find a better way to keep track of stocks and how they are borrowed. i think america, and traders around the world are in support of this change. thank you