Bryan Marascalchi Comment On Regulatory Notice 22-08
Investments in complex products do not need to be banned nor restricted. I oppose restrictions that limit my investment opportunities. Leverage has existed in various forms since the beginning of the equities markets. These modern offerings give safer access to leverage to those who otherwise would not have this advantage.
2020068689301 Manish Saini CRD 3266112 AWC gg (2022-1662682888392).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068689301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Manish Saini (Respondent)
Former General Securities Representative (GSR)
CRD No. 3266112
Pursuant to FINRA Rule 9216, Respondent Manish Saini submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020068745101 Jolam Mendez CRD 7194083 AWC lp (2022-1662682888125).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068745101
TO Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jolam Mendez (Respondent)
CRD No. 7194083
Pursuant to FINRA Rule 9216, Respondent Jolam Mendez submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020067598801 Daniel William Stoakes, Jr. CRD 4637800 AWC lp (2022-1662682888646).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067598801
Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Daniel William Stoakes, Jr. (Respondent)
Former General Securities Representative
CRD No. 4637800
Pursuant to FINRA Rule 9216, Respondent Daniel William Stoakes, Jr. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
SR-FINRA-2022-017
Rule Filing Status: Approved
Rule change to amend FINRA Rule 6750 to provide that FINRA may publish or distribute aggregated transaction information and statistics on U.S. Treasury Securities on a more frequent basis.