2020065128501 Wilfredo Felix, Jr. CRD 2693672 NAC Decision sl (2022-1668298806053).pdf
BEFORE THE NATIONAL ADJUDICATORY COUNCIL
FINANCIAL INDUSTRY REGULATORY AUTHORITY
In the Matter of
Department of Enforcement, Complainant,
vs.
Wilfredo Felix, Jr.
North Amityville, NY, Respondent.
DECISION
Complaint No. 2020065128501
Dated: October 13, 2022
Respondent failed to respond to multiple FINRA Rule 8210 requests. Held, findings and sanction affirmed.
Appearances
For the Complainant: Megan P. Davis, Esq., Karen C. Daly, Esq., and Keven Hartzell, Esq., Department of Enforcement, Financial Industry
2020068564101 Steven Albert Bellino CRD 1278531 AWC va (2022-1668298796065).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068564101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Steven Albert Bellino (Respondent)
Former General Securities Representative
CRD No. 1278531
Pursuant to FINRA Rule 9216, Respondent Steven Albert Bellino submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Brant Brubaker Comment On Regulatory Notice 22-08
The United States if a free country. All regulatory agencies have a responsibility to protect our freedoms, not restrict them. All financial regulators have a responsibility to ensure investors are adequately informed, but they have no right to restrict our freedom to invest freely as we choose. By limiting access to investments, you limit innovation and also subject retail investors to the necessity of paying expensive fees to an investment advisor.
2020068346501 Amit Kumar Bhatia CRD 5305020 AWC gg (2022-1668212412874).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068346501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Amit Kumar Bhatia (Respondent)
General Securities Representative
CRD No. 5305020
Pursuant to FINRA Rule 9216, Respondent Amit Kumar Bhatia submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.