22-02275(4).pdf
Second Amended
Anonymous Comment On Regulatory Notice 22-08
Inverse and leveraged funds are a very important part of my investing. I have been able to weather the lows by using those funds and have gone beyond just preserving my initial capital. I am fully capable of using this type of strategy to manage my money when needed, and do not believe I should be regulated more than any other member of the public. This should not be another case of just the privileged being even more privileged. No process like passing a test will make me any more careful than I am now.
2019064878901 Palladium Capital Group, LLC CRD 129400 AWC lp (2024-1714090817294).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064878901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Palladium Capital Group, LLC (Respondent)
Member Firm
CRD No. 129400
Pursuant to FINRA Rule 9216, Respondent Palladium Capital Group, LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.