2019060753501 Salvatore Pizzimenti CRD 2879580 AWC va (2021-1626049218691).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060753501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Salvatore Pizzimenti (Respondent) Former General Securities Representative CRD No. 2879580 Pursuant to FINRA Rule 9216, Respondent Salvatore Pizzimenti submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019064900501 Peter Bruce Suyama CRD 1404564 AWC va (2021-1626022241348).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064900501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Peter Bruce Suyama (Respondent) General Securities Representative CRD No. 1404564 Pursuant to FINRA Rule 9216, Respondent Peter Bruce Suyama submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Jonathon Sonnenberg Comment On Regulatory Notice 21-19
The Reporting of Loan Obligations as Short Interest. Theory suggests that some participants are borrowing shares from ETF's to cover their existing short interest. This only results in the same exposure continuing to exist elsewhere in the market, in effect, the short position has not been closed, but rather, is moved off the books which affects the integrity on both ends of the affiliate program.