Transitional Broker LLC Comment On Regulatory Notice 22-08

Transitional Broker LLC appreciates the opportunity to comment on Regulatory Notice 22-08 published by the Financial Industry Regulatory Authority (FINRA). We support FINRAs investor protection mission and commend FINRA for reminding members of their current regulatory obligations. However, we are deeply concerned that FINRA is considering a series of radical and unprecedented regulations that could prevent or deter our clients from accessing a broad range of public securities deemed complex.

2021072592201 Steven Kiyoto Hirata CRD 1188927 AWC gg (2022-1656634823238).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072592201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Kiyoto Hirata (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1188927 Pursuant to FINRA Rule 9216, Respondent Steven Hirata submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021073523801 Paul S. Vavrinchik CRD 5505145 AWC gg (2022-1656634822927).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073523801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul S. Vavrinchik (Respondent) Former General Securities Representative CRD No. 5505145 Pursuant to FINRA Rule 9216, Respondent Paul S. Vavrinchik submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061652402 David Charles Levine CRD 2569418 AWC gg (2022-1656634823319).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061652402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Charles Levine (Respondent) General Securities Principal and General Securities Representative CRD No. 2569418 Pursuant to FINRA Rule 9216, Respondent David Charles Levine submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064218701 Philip Norris Smith CRD 2833891 AWC gg (2022-1656634822898).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064218701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Norris Smith (Respondent) Investment Company and Variable Contracts Products Representative and General Securities Representative CRD No. 2833891 Pursuant to FINRA Rule 9216, Respondent Philip Norris Smith submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064218702 Camille Cordova CRD 6734084 AWC gg (2022-1656634822557).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064218702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Camille Cordova (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6734084 Pursuant to FINRA Rule 9216, Respondent Camille Cordova 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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