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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.

Ron Velotta Comment On Regulatory Notice 21-19

Do you REALLY think the solution is to allow the members that have been engaged in blatant market manipulation against retail investors to make the judgement call on whether a retail investor is being taken advantage of and disable their ability to buy or sell a stock?!?!?!?!?!?!?!?!?!?!?!?!?!?! Do you even begin to understand how negatively this will impact retail investors when their positions are counter to the very same market makers that get to decide if a retail investor should be prevented from buying/selling stocks? Of course you do. You're corrupt.