Vic Comment On Regulatory Notice 25-06

Dear Sir/Madam, Let's remove Rule 15c2-11 and help release the millions if trapped and lost retail money in Expert market.

This rule was supposed to help traders but it stole money from everyone unable to sell these stocks. Seems criminal 100% as the public was not warned properly to sell and leave the market. It has destroyed the OTC market with hardly any volume or interest anymore. Just u believable what this rule did to people with small bank accounts. Pure theft.

2021071749901 John Stephen Pronovost CRD 1990612 AWC lp (2025-1752711604064).pdf

From January 2020 to September 2022, Pronovost engaged in an outside business activity by acting as a trustee to the estate of a deceased Cambridge customer without providing prior written notice to Cambridge or Osaic. As a result, Pronovost violated FINRA Rules 3270 and 2010. For this violation, Pronovost is suspended for two months and fined $7,500.

2023077800001 Roy Reese CRD 2216651 AWC lp (2025-1752711604047).pdf

Between July 2020 and February 2021, while associated with MML, Respondent forwarded approximately $12,000 for the benefit of people he did not know to a third party located overseas, despite red flags that the funds may have been related to illegal activity. Therefore. Respondent violated FINRA Rule 2010, is suspended for nine months and fined $10,000.
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