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2021072336501 Barbara Ann Bernatzky CRD 2535421 AWC va (2022-1655943626013).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072336501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barbara Ann Bernatzky (Respondent) Former General Securities Representative CRD No. 2535421 Pursuant to FINRA Rule 9216, Respondent Barbara Ann Bernatzky submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Steven Wing Comment On Regulatory Notice 22-08

Regulating my abilities and rights to invest as I see fit is my decision not yours. These types of moves are what would be expected from Russia or China not the USA.

Should I deem an investment appropriate for my portfolio it should be available to me not just the financially privileged. Are you trying to expand the economic gap that already exists between the wealthy and the no-so wealthy?

I will also be contacting my elected representatives to let them know I believe you are overstepping your authority and considering stepping on my rights.

Walter Bailey Comment On Regulatory Notice 22-08

To whom it may concern,
I just received notice via an email that someone feels it may be necessary to hold my hand or to test my investing knowledge before I will be allowed to make certain investments with my own funds. I would like to make it clear that I am totally opposed to such a new regulation and do not appreciate even the thought of this possibility. I am free to gain or lose my investments at my discretion and do not need a babysitter to watch me. Leave us investors alone and mind your own business!