Lori Walsh

As the Vice President and Deputy Chief Economist, Ms. Walsh is responsible for management of national strategic and tactical initiatives by providing high quality research, analysis and advice on the economics of securities regulation and policy in support of the Office of the Chief Economist (OCE) and FINRA’s mission. The work product informs current rulemaking initiatives, reviews of existing rules and potential areas of future regulatory actions through analysis of the economic impacts of existing and potential rulemakings.

2020066566001 Warren Ellwood Rowe, Jr. CRD 1065880 AWC jlg (2022-1643934017903).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066566001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Warren Ellwood Rowe, Jr. (Respondent) Former General Securities Representative CRD No. 1065880 Pursuant to FINRA Rule 9216, Respondent, Warren Ellwood Rowe, Jr., submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

2019061651201 Triad Advisors LLC CRD 25803 AWC jlg (2022-1643934018429).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061651201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Triad Advisors LLC (Respondent) Member Firm CRD No. 25803 Pursuant to FINRA Rule 9216, Respondent Triad Advisors LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted

2017054718901 RBC Capital Markets, LLC CRD 31194 AWC jlg (2022-1643934017282).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054718901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

2020065094701 Third Seven Capital LLC CRD 160209 AWC sl (2022-1643847615895).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065094701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Third Seven Capital LLC (Respondent) Member Firm CRD No. 160209 Pursuant to FINRA Rule 9216, Respondent Third Seven Capital LLC (TSC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064510501 Roger Oakley Waite CRD 2848213 AWC jlg (2022-1643847616242).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064510501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roger Oakley Waite (Respondent) Former General Securities Representative CRD No. 2848213 Pursuant to FINRA Rule 9216, Respondent Roger Oakley Waite submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on
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