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Ricky Nicholas D'Anna Comment On Regulatory Notice 21-19

Every large institution, hedge fund or bank should have to report their short position(s) immediately and made public. The time is takes for market makers to cover failure to delivers on the thresh hold list needs to be reduced from 13 days to 5 days. All failure to delivers should be reported 3 days after a trading day. The penalty for creating synthetic shares should be the same as creating counterfeit fiat. Fines for market manipulation should equal profits made by said manipulation. High frequency trading should be abolished all together, it is used to manipulate stock prices.

Ryan McCabe Comment On Regulatory Notice 21-19

I would like to see these changes implemented as soon as possible. Given the current state of the market and the illegal nature of naked shorting securities, this would be a breath of fresh air. Transparency is key to a fair market and as it currently stands, the market is all bit opaque to individual investors. In order to maintain the faith of individual investors I strongly believe it is imperative that these changes be implemented with all haste.

2021071026301 Tyler Rigsbee CRD 6351278 AWC va (2021-1628295687276).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071026301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tyler Rigsbee (Respondent) Former General Securities Representative CRD No. 6351278 Pursuant to FINRA Rule 9216, Respondent Tyler Rigsbee submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068089401 Jeanet C. Lee CRD 4766237 AWC rjr (2021-1628295687552).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068089401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeanet C. Lee (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4766237 Pursuant to FINRA Rule 9216, Respondent Jeanet C. Lee submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Dana S. Grosser

As Senior Vice President, Corporate Communications, Dana Grosser oversees all of FINRA’s internal and external communications functions, including media relations, digital and multimedia communications, and creative services.

Before joining FINRA in June 2021, Ms. Grosser served as Head of Corporate Public Relations and U.S. Crisis Communications Strategy at Vanguard.

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