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Ryan Mendonca Comment On Regulatory Notice 22-08

I would like to express my SUPPORT for additional regulation of trading leveraged and inverse funds. I use leveraged ETFs quite heavily in my own financial planning, and I don't see any reason not to require investors to pass a simple test to use these products. They are a great tool for hedging, but they can be very riskyand I believe some measures should be taken to make sure that they are used by people who can either demonstrate a basic understanding of those risks or who can demonstrate that they can afford to lose what they are investing.

2020066911501 Palmery Robert Desir CRD 5559016 AWC lp (2022-1656289200472).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066911501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Palmery Robert Desir (Respondent) General Securities Representative CRD No. 5559016 Pursuant to FINRA Rule 9216, Respondent Palmery Robert Desir submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068052001 Jared E. Ellis CRD 5618664 AWC lp (2022-1656289201446).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068052001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jared E. Ellis (Respondent) Former General Securities Representative CRD No. 5618664 Pursuant to FINRA Rule 9216, Respondent Jared E. Ellis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.