Election Notice – 12/15/21

Executive Summary

FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees.1 Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also appointed several individuals to fill additional vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and appointed to the SFAC, Regional Committees and NAC.  

2016050947801 Wells Fargo Clearing Services, LLC CRD 19616 Wells Fargo Advisors Financial Network, LLC CRD 11025 AWC jlg (2022-1642033220526).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016050947801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wells Fargo Clearing Services, LLC (CRD No. 19616) and Wells Fargo Advisors Financial Network, LLC (CRD No. 11025) (Respondents) Member Firms Pursuant to FINRA Rule 9216, Respondents Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC submit this Letter of Acceptance, Waiver, and Consent (AWC) for the

2020065633902 Johan M. Pereira CRD 6252881 AWC sl (2022-1641775792065).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065633902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Johan M. Pereira (Respondent) Former Registered Representative CRD No. 6252881 Pursuant to FINRA Rule 9216, Respondent Johan M. Pereira submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063821601 Adam Maggio CRD 4177365 AWC sl (2022-1641773994569).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063821601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Adam Maggio (Respondent) General Securities Principal CRD No. 4177365 Pursuant to FINRA Rule 9216, Respondent Adam Maggio submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060968102 American Portfolios Financial Services, Inc. CRD 18487 AWC sl (2022-1641774010898).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060968102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: American Portfolios Financial Services, Inc. (Respondent) Member Firm CRD No. 18487 Pursuant to FINRA Rule 9216, Respondent American Portfolios Financial Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071289801 Thomas Patrick Barton III CRD 6908590 AWC sl (2022-1641773994634).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071289801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Patrick Barton III (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6908590 Pursuant to FINRA Rule 9216, Respondent Thomas Patrick Barton III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
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