FINRA Is Open

2021069366701 Walter Waitak Light CRD 1494331 AWC va (2022-1657412401603).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069366701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Walter Waitak Light (Respondent) Former General Securities Representative CRD No. 1494331 Pursuant to FINRA Rule 9216, Respondent Walter Waitak Light submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071858501 Liliana Maria Paz-Franco CRD 5235568 AWC va (2022-1657412419039).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071858501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Liliana Maria Paz-Franco (Respondent) Former General Securities Representative CRD No. 5235568 Pursuant to FINRA Rule 9216, Respondent Liliana Paz-Franco submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Randy Nielsen Comment On Regulatory Notice 22-08

Leveraged and inverse funds are important part of my family investment strategies. We, not regulators, should make the decision about public investments.

Don't be fooled by those who think investors are need more government oversight. We are smart enough to understand these products. They play a role in letting the small investor protect and enhance their investments. Small guys like me can't afford the staff and resources of the big players. These leveraged and inverse funds have benefited my investments accounts time and time again.

2020068652401 Tameem Habib CRD 5507746 AWC va (2022-1657412401705).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068652401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tameem Habib (Respondent) Former General Securities Representative CRD No. 5507746 Pursuant to FINRA Rule 9216, Respondent Tameem Habib submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068668803 Nicholas Lee Ash CRD 6244799 AWC va (2022-1657326019731).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068668803 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nicholas Lee Ash (Respondent) Investment Company and Variable Contracts Products Representative (IR) CRD No. 6244799 Pursuant to FINRA Rule 9216, Respondent Nicholas Lee Ash submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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