18-04008(2).pdf
motion to vacate
2019061652403 Jonathan Craig Rich CRD 2271478 va (2022-1658535619815).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061652403
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jonathan Craig Rich (Respondent)
Former General Securities Principal and Investment Banking Principal
CRD No. 2271478
Pursuant to FINRA Rule 9216, Respondent Jonathan Craig Rich submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Deadline for Comments on Regulatory Notice 22-14
FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions
2021071562601 Jeffrey Martin CRD 3268675 va (2022-1658535620285).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071562601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeffrey Martin (Respondent)
Former General Securities Representative
CRD No. 3268675
Pursuant to FINRA Rule 9216, Respondent Jeffrey Martin submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
Laura Shockey-Cirillo Comment On Regulatory Notice 22-08
KEEP YOUR HANDS OFF MY CHOICE OF INVESTMENTS. I CHOOSE THE RISK AND ACCEPT THE CONSEQUENCES. I DON'T NEED YOUR REGULATIONS. I LEARNED WHEN I HAD LOSSES OF WHAT NOT TO DO. MY EXPERIENCES HAVE HELPED ME TO INCREASE MY GAINS. PROSHARES WARNED ME BY MAIL ABOUT THE RISKS INVOLVED WITH TQQQ AND SQQQ.
Eleonor Beltran Comment On Regulatory Notice 22-08
I oppose restrictions to my right to invest.
