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Daniel Nargizian Comment On Regulatory Notice 22-08

Comments:I have used various leveraged etf in conjunction with my stocks and mutual funds for years. Im an individual investor with a regular job. Anyone investing in this category is responsible to do their own research regarding the risks and benefits on the direction website. There is short but effective information readily available pertaining to the nature of these levaraged investments. As in all investments, one should accept the possibility that the entire investment might be a loss.

2015045039501 SunTrust Robinson Humphrey, Inc. nka Truist Securities, Inc. CRD 6271 AWC va (2022-1656721216940).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015045039501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SunTrust Robinson Humphrey, Inc. (n/k/a Truist Securities, Inc.) (Respondent) Member Firm CRD No. 6271 Pursuant to FINRA Rule 9216, Respondent SunTrust Robinson Humphrey, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Transitional Broker LLC Comment On Regulatory Notice 22-08

Transitional Broker LLC appreciates the opportunity to comment on Regulatory Notice 22-08 published by the Financial Industry Regulatory Authority (FINRA). We support FINRAs investor protection mission and commend FINRA for reminding members of their current regulatory obligations. However, we are deeply concerned that FINRA is considering a series of radical and unprecedented regulations that could prevent or deter our clients from accessing a broad range of public securities deemed complex.

2021072592201 Steven Kiyoto Hirata CRD 1188927 AWC gg (2022-1656634823238).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072592201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Kiyoto Hirata (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1188927 Pursuant to FINRA Rule 9216, Respondent Steven Hirata submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021073523801 Paul S. Vavrinchik CRD 5505145 AWC gg (2022-1656634822927).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073523801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul S. Vavrinchik (Respondent) Former General Securities Representative CRD No. 5505145 Pursuant to FINRA Rule 9216, Respondent Paul S. Vavrinchik submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.