2019064978901 John L. Scott CRD 2407610 AWC va (2021-1621729209393).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064978901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John L. Scott (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2407610 Pursuant to FINRA Rule 9216, Respondent John L. Scott submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068202301 Stephen J. Stancarone CRD 4373958 AWC jlg (2021-1621729209807).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068202301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen J. Stancarone (Respondent) Former General Securities Representative (GSR) CRD No. 4373958 Pursuant to FINRA Rule 9216, Respondent Stephen J. Stancarone submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Jacob Comment On Regulatory Notice 21-11

My only comment is that if an individual is on a margin account, why should they be governed by the PDT rule. Or better yet, why does this rule still exist. It is the most un-American regulation Ive ever heard of. That your organization has the audacity to try and tell hardworking Americans what how much they must have in order to day trade. This is an obvious sham, and does not exist to protect ANYONE, as those same investors can trade cryptocurrencies 24/7, unlimited, and can just as easily lose money swing trading.

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