SR-FINRA-2022-010

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt on a permanent basis the pilot program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).

2021072296201 Wesley Cummings CRD 7135629 AWC lp (2022-1652401212153).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072296201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wesley Cummings (Respondent) Former General Securities Representative CRD No. 7135629 Pursuant to FINRA Rule 9216, Respondent Wesley Jamison Cummings submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070686301 Jonathan A. Stuffer CRD 6015954 AWC lp (2022-1652401214200).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070686301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jonathan A. Stuffer (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6015954 Pursuant to FINRA Rule 9216, Respondent Jonathan A. Stuffer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071847701 William Martin Beasley CRD 1750089 AWC lp (2022-1652401208796).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071847701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Martin Beasley (Respondent) General Securities Representative CRD No. 1750089 Pursuant to FINRA Rule 9216, Respondent William Martin Beasley submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022073728601 John Winslow CRD 3071933 AWC lp (2022-1652401210656).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073728601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Winslow (Respondent) Former General Securities Representative CRD No. 3071933 Pursuant to FINRA Rule 9216, Respondent John Winslow submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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