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Francis Schweitzer Comment On Regulatory Notice 21-19

Francis Schweitzer

I am a new investor dating to Feb 2021. With limited experience and a lot of reading, I opened a cash account so I could open a ROTH IRA. With my limited time and knowledge, it didn’t take long for me, a somewhat technically experienced person that something wasn’t square on the other side of my trade. I do not comment here as to fake a persona of a trader but just the opposite… and if I can see something isn’t fair or right… imagine what is happening to those that have years of knowledge and trading experience