2022074295801 Anthony G. Saab CRD 408501 AWC gg (2025-1748737199545).pdf
Saab refused to provide documents and information requested pursuant to FINRA Rule
8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating
with any FINRA member in all capacities.
Mark Thatcher Comment On Regulatory Notice 25-05
Dear Ms. Mitchell,
As an owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290 in Regulatory Notice 25-05.
2018056490328 John E. Fendrich Jr. CRD 1791002 AWC lp (2025-1748737199753).pdf
Between September 2020 and November 2021, Fendrich recommended to a retail
customer a series of trades that were excessive and not in the customer’s best interest. As
a result, Fendrich willfully violated the Best Interest Obligation under Rule 15l-1(a)(1) of
the Securities Exchange Act of 1934 (Regulation BI or Reg BI) and violated FINRA Rule
2010. For this violation, Fendrich is suspended for three months in all capacities, fined
$5,000, and ordered to pay restitution of $14,214 plus interest.
Joseph Connor Comment On Regulatory Notice 25-05
Date: May 1, 2025
Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA
1735 K Street
Washington, DC 20006
Re: Request for Comment on Regulatory Notice25-05
Dear Ms. Mitchell,
I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment on the newly proposed Rule 3290 as set forth in FINRA Regulatory Notice 25-05.
2022073421202 Pinnacle Investments LLC CRD 142910 AWC lp (2025-1748737199827).pdf
From June 30, 2020, through September 2024, Pinnacle violated Rule 15l-1 of the
Securities Exchange Act of 1934 (Reg BI), as well as FINRA Rules 3110 and 2010, by
failing to establish, maintain, and enforce a reasonable supervisory system, including
written supervisory procedures (WSPs), concerning recommendations of inverse, or
leveraged exchange traded funds or notes (NT-ETPs).
Sean Hollitz Comment On Regulatory Notice 25-05
As an owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290 in Regulatory Notice 25-05.