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Anonymous Comment On Regulatory Notice 21-17

The political actions already by many of your member firms have had the opposite effect of diversity in the industry in which I am employed and licensed. I am a veteran but our company has chosen to close early on a non market holiday tomorrow June 18th, 2021. We don't close or close early for veterans day which is also to honor ALL of those who have served to preserve liberty, including the black soldiers who gave their lives to defend emancipation day.

2019061941101 Michael J. Giovannelli CRD 4989449 Complaint va (2021-1626567613142).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Michael J. Giovannelli CRD No. 4989449, Respondent. Disciplinary Proceeding No. 2019061941101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February and April 2020, while registered through Spartan Capital Securities, LLC (“Spartan”) (CRD No. 146251), Respondent Michael J. Giovannelli made 12

2019064696501 John C. Braddock CRD 1282733 AWC va (2021-1626567613495).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064696501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John C. Braddock (Respondent) Former General Securities Representative CRD No. 1282733 Pursuant to FINRA Rule 9216, Respondent John C. Braddock submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071514101 Marc R. Lippman CRD 1575995 AWC sl (2021-1626567612319).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071514101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marc R. Lippman (Respondent) General Securities Representative CRD No. 1575995 Pursuant to FINRA Rule 9216, Respondent Marc R. Lippman 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,