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Reginald A Mabry Comment On Special Notice – 6/30/21

There must be better Regulation on Regulators. The system is broken from the top. There is a revolving door of regulators coming from financial firms that have competing interest. The SEC suit against Ripple is an example. Commissioners and Directors have competing interest and it is pensioning our economy. Our Senators and Congress people suffer from the same revolving door. The Public has no real access and Power and there is no accountability. When the public sends petitions to Agencies and there is no action shows the Problem.

2016048837401 Wilson-Davis & Co., Inc. CRD 3777, et al Order DM (2021-1629073215325).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), JAMES C. SNOW, JR. (CRD No. 2761102), LYLE WESLEY DAVIS (CRD No. 62352), BYRON BERT BARKLEY (CRD No. 12469), and CRAIG STANTON NORTON (CRD No. 349405), Respondents. Disciplinary Proceeding No.2016048837401 Hearing Officer- DRS ORDER ACCEPTING OFFER OF SETTLEMENT

2018058595601 StockCross Financial Services, Inc. CRD 6670 AWC va (2021-1629073214553).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NOS. 2018058595601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: StockCross Financial Services, Inc. (acquired by Respondent Muriel Siebert & Co., Inc. as of December 31, 2019), (Respondent) Member Firm CRD No. 6670 Pursuant to FINRA Rule 9216, Respondent StockCross Financial Services, Inc., which was acquired by Muriel Siebert & Co., Inc.