2019062348301 Matthew Alexander Perry CRD 5985300 AWC jlg (2021-1627518021388).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062348301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew Alexander Perry (Respondent) Former General Securities Representative CRD No. 5985300 Pursuant to FINRA Rule 9216, Respondent Matthew Alexander Perry submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070319901 Daniel Jossen CRD 5463761 AWC rjr (2021-1627518020136).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2021070319901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel Jossen (Respondent) Former General Securities Representative CRD No. 5463761 Pursuant to FINRA Rule 9216, Respondent Daniel Jossen submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

William Lehnert Comment On Regulatory Notice 21-19

These rule changes are long overdue - public faith in equity markets represent a vital economic and strategic strength of the US and our position in global finance. There will be specific firms that lobby to oppose these rules for their own selfish near term purposes - but they are ultimately short sighted and against the public interest. Tens of millions of Americans rely on equity markets now more than ever for their economic security through 401k's - as defined benefit pension plans have largely become extinct in the private sector.

2019064024001 George Louis McCaffrey III CRD 847377 AWC rjr (2021-1627518021661).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064024001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: George Louis McCaffrey III (Respondent) Former General Securities Representative CRD No. 847377 Pursuant to FINRA Rule 9216, Respondent George Louis McCaffrey, III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068393101 Michael Scott Farris CRD 6478510 AWC rjr (2021-1627518020989).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068393101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Scott Farris (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6478510 Pursuant to FINRA Rule 9216, Respondent Michael Scott Farris submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Special Notice – 6/30/21

Summary

Over the past 18 months, U.S. securities markets have experienced dramatic volatility. At the same time, individual investors entered the markets in unprecedented numbers—often through self-directed accounts at online brokers—drawn in part by reduced barriers to entry, such as low- and no-commission trading and the ability to purchase fractional shares. Increased retail market participation can benefit individuals by potentially encouraging higher levels of savings and wealth accumulation—and it can benefit the markets in the form of greater liquidity.

2018060359901 Scott R. Mathews CRD 1314735 AWC jlg (2021-1627258812179).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060359901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott R. Mathews (Respondent) Former General Securities Representative CRD No. 1314735 Pursuant to FINRA Rule 9216, Respondent Scott R. Mathews submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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