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2022076873501 Peter M. Rosten CRD 2973115 AWC vrp.pdf

From January to March 2022, Rosten entered limit buy orders in a thinly traded over-the-counter stock at prices just below the inside market for the stock while simultaneously selling the same stock. These buy orders created a false appearance of market activity in the stock to other market participants. Rosten therefore violated FINRA Rule 2010 by negligently contravening Section 17(a)(3) of the Securities Act of 1933. He is suspended in all capacities for four months and fined $25,000...

Milnor Law PLLC and Kahn & Resnick, PL Comment On Regulatory Notice 26-06

Pickard Djinis and Pisarri LLP Comment On Regulatory Notice 26-06

Vince Calvaruso Comment On Regulatory Notice 26-06

When a RR receives a “No Action Letter,” such should be removed from BrokerCheck because the client has not shown its case has merit;
An arbitration 20+ years old under $5,000.00 should be removed from BrokerCheck without the RR having to pay court fees in an attempt to have it removed.

David Slater Comment On Regulatory Notice 26-06

I oppose your proposal of advanced notice of requirement of staying overnite of last nite of hearing in foreign location. That info is unknown to the arbitrator who relies on the timing of counsel, nor can flights be changed easily.