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.

The Sullivan Group Comment On Regulatory Notice 25-05

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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).