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2021072107601 Aaron Capital Incorporated CRD 28583 AWC gg (2022-1656116424251).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072107601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aaron Capital Incorporated (Respondent) Member Firm CRD No. 28583 Pursuant to FINRA Rule 9216, Respondent Aaron Capital Incorporated submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

George Croissant Comment On Regulatory Notice 22-08

To whom it may concern,
I, as an individual investor, should be able to choose the investment vehicles that I deem appropriate for my needs. I am not a child that needs to be coddled. I am perfectly capable of understanding and accepting the risks that I am undertaking when using leveraged and inverse funds. Excess regulations or processes that inhibit my ability to invest as I see fit cause an extra burden on me and waste my time.

2020066434701 Suresh V. Kumar CRD 5683972 Order Accepting Offer of Settlement va (2022-1656116423838).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2020066434701 Hearing Officer—MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 23, 2022 Department of Enforcement, Complainant, v. Suresh V. Kumar CRD No. 5683972, Respondent INTRODUCTION Disciplinary Proceeding No. 2020066434701 was filed on April 20, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant).

2019063546101 BIDS Trading L.P. CRD 141296 AWC va (2022-1656116424555).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063546101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BIDS Trading L.P. (Respondent) Member Firm CRD No. 141296 Pursuant to FINRA Rule 9216, Respondent BIDS Trading L.P. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.