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2020065163002 Patrick Richard Daley CRD 4284221 2020065163002 gg (2022-1654993202910).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065163002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Richard Daley (Respondent) Registered Representative and Registered Principal CRD No. 4284221 Pursuant to FINRA Rule 9216, Respondent Patrick Richard Daley submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065163001 Roselaine Securities LLC CRD 171237 gg (2022-1654993223835).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065163001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roselaine Securities LLC (Respondent) Member Firm CRD No. 171237 Pursuant to FINRA Rule 9216, Respondent Roselaine Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Jason Sakasci Comment On Regulatory Notice 22-08

I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged.

I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. I'm am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on me.

Leveraged and inverse funds are IMPORTANT to MY investment strategies.

2019060672801 Spire Securities, LLC CRD 144131 AWC lp (2022-1654993204291).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060672801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Spire Securities, LLC (Respondent) Member Firm CRD No. 144131 Pursuant to FINRA Rule 9216, Respondent Spire Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.