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2018057274302 JASON LYNN DIPAOLA CRD 2648836 Complaint sl (2021-1622766006779).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON LYNN DIPAOLA (CRD No. 2848836), Respondent. DISCIPLINARY PROCEEDING NO. 2018057274302 COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. From March 2015 to March 2017 (the “relevant period”), Jason Lynn DiPaola, while associated with FINRA member firm Chardan Capital Markets, LLC (“Chardan” or the “Firm”), exercised discretion and controlled the trading in his mother’s brokerage

Ryan Frazier Comment On Regulatory Notice 21-17

FINRA should evaluate how its policy and requirements for becoming a broker/dealer may be financially and/cost prohibitive. Access to financial resources may be a barrier to entry for many in targeted demographics for greater inclusion. Additionally, perhaps there are incentives that might aid more tradition broker/dealers in the recruitment, mentoring, and career support for diverse candidates. Lastly, community engagement at local levels must be consistent and sustained to realized progress and effectively move the dial. Thanks for the opportunity to comment.