Alfred Balakier Comment On Regulatory Notice 22-08
Regulations prevent small investors like myself from participating in venture capital and hedge funds, keeping more wealth in the hands of the wealthy.
UPRO's leveraged investment options are a critical component of my portfolio. Leveraged, they increase risk, but are also tied to market performance which diminishes single company/industry risk whereby I can choose the risk level I want for my portfolio.
Folks investing in UPRO understand the inherent risks. We're not children.
Kat Johnson Comment On Regulatory Notice 22-08
When it comes to public securities, we do not need additional regulations. The market needs all the help it can get, not additional and unnecessary obstacles to investor autonomy.
Husein Hammoud Comment On Regulatory Notice 22-08
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST
James Tenney Comment On Regulatory Notice 22-08
Dear Sirs & Madams--
I oppose being restricted in investing in leveraged investments. I have been doing so for many years now as a supplement to my primary retirement "buy and hold" investment strategy. I am range-trading a small percentage of my overall portfolio using leveraged funds.
Frankly, I'm not sure why FINRA is getting involved with this. I would think you could find better ways to serve the public.
2020067014603 Igor Peter Kislitsa CRD 6324794 AWC gg (2022-1658103616608).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067014603
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Igor Peter Kislitsa (Respondent)
Former Investment Company Shares and Variable Contracts Representative
CRD No. 6324794
Pursuant to FINRA Rule 9216, Respondent Igor Peter Kislitsa submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2018056490303 Timothy P. Higgins CRD 2282547 Complaint va (2022-1658103598080).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Disciplinary Proceeding
No. 2018056490303
Department of Enforcement,
Complainant,
v.
Timothy P. Higgins
CRD No. 2282547,
Respondent.
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1.Respondent Timothy P. Higgins (“Higgins” or “Respondent”) failed to appear and provide testimony requested pursuant to FINRA Rule 8210 on two occasions.
2021071964901 Cesar Ricardo Alfonzo CRD 6817711 AWC gg (2022-1658103615880).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071964901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Cesar Ricardo Alfonzo (Respondent)
Former General Securities Representative
CRD No. 6817711
Pursuant to FINRA Rule 9216, Respondent Cesar Ricardo Alfonzo submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021070418201 Gene Thomas Mancinelli CRD 1590679 AWC gg (2022-1658103597705).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070418201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Gene Thomas Mancinelli (Respondent)
Former Associated Person
CRD No. 1590679
Pursuant to FINRA Rule 9216, Respondent Gene Thomas Mancinelli submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.