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2019062574901 Michael Thomas Carl CRD 3023492 AWC sl (2021-1627777208536).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062574901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Thomas Carl (Respondent) Former General Securities Representative CRD No. 3023492 Pursuant to FINRA Rule 9216, Respondent Michael Thomas Carl submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Breanna Stott Comment On Special Notice - 6/30/21

19-01545.pdf

Wes Warren Comment On Special Notice – 6/30/21

Visual representation. A lot of those who are not versed in finance and investments have a hard time visualizing investments and what the “outcome” of a specific action or rule would look like. Finding ways to compare to real life events, not related to investments, is a way for new investors to correlate new investment knowledge to prior experience.

The Neutral Corner

2019063570502 Matthew R. Logan CRD 5366984 Hearing Panel Decision rjr (2021-1627690803772).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MATTHEW R. LOGAN (CRD No. 5366984), Respondent. Disciplinary Proceeding No. 2019063570502 Hearing Officer-RES HEARING PANEL DECISION June 29, 2021 Respondent Matthew R. Logan is barred from associating with any FINRA

2020066971201 Robinhood Financial LLC CRD 165998 AWC rjr (2021-1627690803848).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066971201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robinhood Financial LLC (Respondent) Member Firm CRD No. 165998 Pursuant to FINRA Rule 9216, Respondent Robinhood Financial LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.