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2019063955801 Thomas Clark Cleary CRD 2221383 AWC va (2021-1625790025175).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063955801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Clark Cleary General Securities Representative CRD No. 2221383 Pursuant to FINRA Rule 9216, Respondent Thomas Clark Cleary submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Dr. Matthew R. White Comment On Regulatory Notice 21-19

This was my comment: 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.

2018057162401 Alpine Securities Corporation CRD 14952 AWC sl (2021-1625790022304).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057162401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alpine Securities Corporation (Respondent) Member Firm CRD No. 14952 Pursuant to FINRA Rule 9216, Respondent Alpine Securities Corporation submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

Josh Blanchard Comment On Regulatory Notice 21-19

How are we (the public retail) supposed to believe any information reported is accurate, when fines for breaking any rules take years to resolve and are minuscule when compared to the money that is being made off of defrauding the little guy? When the people lying are friends with the people who are supposed to keep them in check, all it takes is a little kick back to make it all go away. Lame or not "Who watches the Watchmen?"